Goodman & Nekvasil P.A., May Recover Investor Losses – Rodney Allen Heier (Rod Heier) Formerly Licensed with Charles Schwab & Co., Inc.
From 2007 until Rod Heier’s resignation in 2016, Rod Heier was licensed with Charles Schwab & Co., Inc. According to FINRA’s records, Rod Heier resigned from Charles Schwab & Co., Inc. on May 6, 2016. Charles Schwab & Co., Inc. reported to FINRA that Rod Heier was accused of potential violation of Charles Schwab & Co., Inc.’s business conduct policy for inaccurate documentation in the Firm’s proprietary note taking system.
FINRA also reports that an arbitration claim was filed involving Rod Heier’s conduct with Charles Schwab & Co., Inc., alleging an unsuitable recommendation and misrepresentation. This arbitration claim sought $35,876 in damages and was settled for $45,000.
If you lost any money on investments with Rod Heier, you may be able to recover your losses from Charles Schwab & Co., Inc. This is because Charles Schwab & Co., Inc. had a duty to supervise Rod Heier.
If you lost money on investments with Rod Heier and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Charles Schwab & Co., Inc. concerning Rod Heier’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with Rod Heier and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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