Goodman & Nekvasil P.A., May Recover Investor Losses – Sharon Hsun Goodale (Sharon Goodale) Permitted to Resign from NYLife Securities LLC and Barred from Securities Industry
From 2011 until Sharon Goodale’s resignation in 2012, Sharon Goodale was licensed with NYLife Securities LLC. According to FINRA’s records, Sharon Goodale was permitted to resign from NYLife Securities LLC on December 4, 2012. NYLife Securities LLC reported to FINRA that Sharon Goodale was permitted to resign after Sharon Goodale admitted to violating company policy by signing four pre-filled traditional insurance applications without actually witnessing the respective customers sign the applications in Sharon Goodale’s presence.
According to FINRA, Sharon Goodale was fired by Chase Investment Services Corp., a prior employer, in 2011. Chase Investment Services Corp. reported to FINRA that Sharon Goodale stated to Sharon Goodale’s manager that Sharon Goodale disposed of a client file and contents of branch compliance folders because Sharon Goodale was no longer the financial advisor assigned to the account.
Subsequent to Sharon Goodale’s firing by NYLife Securities LLC, FINRA investigated Sharon Goodale and brought a disciplinary action against Sharon Goodale. Sharon Goodale was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on March 10, 2015. FINRA reports that the sanction was based on findings that Sharon Goodale failed to respond to FINRA requests for documents and information. The findings stated that FINRA was investigating the circumstances leading to Sharon Goodale’s termination by Sharon Goodale’s member firm, including allegations regarding pre-filled insurance applications.
If you lost any money on investments with Sharon Goodale, you may be able to recover your losses from NYLife Securities LLC. This is because NYLife Securities LLC had a duty to supervise Sharon Goodale.
If you lost money on investments with Sharon Goodale and believe 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 NYLife Securities LLC concerning Sharon Goodale’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 Sharon Goodale 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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