Goodman & Nekvasil P.A., May Recover Investor Losses – Roy Neil Carlson (Roy Carlson) Formerly Licensed with G.A. Repple & Company
Roy Carlson was licensed with G.A. Repple & Company from 2004 to 2013. FINRA reports that an arbitration claim was filed involving Roy Carlson’s conduct with G.A. Repple & Company, alleging sales practice violations. This arbitration claim did not settle and proceeded to final hearing. The arbitration panel found G.A. Repple & Company liable and ordered G.A. Repple & Company to pay the Claimant $132,000 in compensatory damages.
FINRA reports that eight complaints and/or arbitration claims involving Roy Carlson’s conduct with G.A. Repple & Company were filed. These complaints and/or arbitration claims allege negligence, breach of fiduciary duty, unsuitability, overconcentration, misrepresentation, fraud, unauthorized trading, and/or other allegations. These complaints and/or arbitration claims all settled, with the largest settling for $200,000, $172,109.56, and $100,000.
If you lost any money on investments with Roy Carlson, you may be able to recover your losses from G.A. Repple & Company. This is because G.A. Repple & Company had a duty to supervise Roy Carlson.
If you lost money on investments with Roy Carlson 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 G.A. Repple & Company concerning Roy Carlson’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 Roy Carlson 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.
Keywords: FINRA, Roy Neil Carlson, Roy Carlson, G.A. Repple & Company, SEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, Securities