Goodman & Nekvasil P.A, May Recover Investor Losses – Sharon Joy Fall Fired by International Assets Advisory, LLC and LPL Financial, LLC
From 2015 until Sharon Fall’s firing in 2016, Sharon Fall was licensed with International Assets Advisory, LLC. Sharon Fall was previously licensed with LPL Financial, LLC. According to FINRA’s records, Sharon Fall was fired by International Assets Advisory, LLC on February 11, 2016. International Assets Advisory, LLC reported to FINRA that after clearly being made aware of the rules and regulations regarding registration, Sharon Fall continued to violate State and firm regulations.
Sharon Fall was also fired by LPL Financial, LLC on June 17, 2015. LPL Financial, LLC reported to FINRA that Sharon Fall was fired for borrowing money from clients in violation of LPL Financial, LLC policy.
Subsequent to Sharon Fall’s firing by International Assets Advisory, LLC and LPL Financial, LLC, FINRA investigated Sharon Fall and brought a disciplinary action against Sharon Fall. Sharon Fall was permanently barred from the securities and investment banking industry in March 2016. Sharon Fall consented to the sanction and to FINRA findings that Sharon Fall failed to appear for on-the-record testimony requested by FINRA in connection with an investigation into a Form U5 filed by her member firm that disclosed the reason for her termination as “borrowing money from clients in violation of firm policy.”
The State of Maryland also revoked Sharon Fall’s registration for engaging in dishonest and unethical practices by borrowing monies from clients, in violation of section 11-302(a)(3) of the Securities Act. Sharon Fall was also fined $15,000.
If you lost any money on investments with Sharon Fall while Sharon Fall was employed with International Assets Advisory, LLC and/or LPL Financial, LLC, you may be able to recover your losses from International Assets Advisory, LLC and/or LPL Financial, LLC. This is because International Assets Advisory, LLC and LPL Financial, LLC had a duty to supervise Sharon Fall.
If you lost money on investments with Sharon Fall 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 International Assets Advisory, LLC and/or LPL Financial, LLC concerning Sharon Fall’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 Fall 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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