Ronald Rothchild, Financial Advisor Fired by Raymond James Financial Services, Inc. | Goodman & Nekvasil P.A., May Recover Investor Losses
Ronald Rothchild CRD #4491932
From 2011 until Ronald Rothchild’s firing in 2016, Ronald Rothchild was licensed with Raymond James Financial Services, Inc. Ronald Rothchild is now licensed with National Securities Corporation. According to FINRA’s records, Ronald Rothchild was fired by Raymond James Financial Services, Inc. on April 8, 2016. Raymond James Financial Services, Inc. reported to FINRA that Ronald Rothchild was accused of engaging in unauthorized trading exercising de facto control over the clients’ accounts, that the investments purchased were unsuitable, and that Ronald Rothchild made inappropriate assurances regarding the level of income the clients could expect to receive.
FINRA reports that a complaint involving Ronald Rothchild’s conduct with Raymond James Financial Services, Inc. was filed, alleging that Ronald Rothchild engaged in unauthorized trading exercising de facto control over the clients’ accounts, that the investments purchased were unsuitable, and that Ronald Rothchild made inappropriate assurances regarding the level of income the clients could expect to receive. This complaint settled for $132,000.
FINRA also reports that an arbitration claim was filed, involving Ronald Rothchild’s conduct with Raymond Financial Services, Inc., alleging negligence, breach of fiduciary duty, breach of contract, material misrepresentations, omissions, and failure to supervise. This pending arbitration claim seeks $170,000 in damages.
If you lost any money on investments with Ronald Rothchild, while Ronald Rothchild was employed with Raymond James Financial Services, Inc. and/or National Securities Corporation, you may be able to recover your losses from Raymond James Financial Services, Inc. and/or National Securities Corporation. This is because Raymond James Financial Services, Inc. and National Securities Corporation had a duty to supervise Ronald Rothchild.
If you lost money on investments with Ronald Rothchild, 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 Raymond James Financial Services, Inc. and/or National Securities Corporation concerning Ronald Rothchild’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 $170 million on behalf of victimized investors. If you lost money on investments with Ronald Rothchild 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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