Goodman & Nekvasil P.A, May Recover Investor Losses – Sharon Melinda Kwan a.k.a. Sharon Chen, Mei Man Quan, My Mon Quan, Sharon Quan (Sharon Kwan) Suspended from Securities Industry and Fired by National Planning Corporation
From 2009 until Sharon Kwan’s firing in 2013, Sharon Kwan was licensed with National Planning Corporation. Sharon Kwan is now licensed with Royal Alliance Associates, Inc. According to FINRA’s records, Sharon Kwan was fired by National Planning Corporation on September 25, 2013. National Planning Corporation reported to FINRA that Sharon Kwan was fired after being accused of not disclosing to the firm a bank account which she shared with a client.
Subsequent to Sharon Kwan’s firing, FINRA brought a disciplinary action against Sharon Kwan. Sharon Kwan consented to a 4-month suspension and a $15,000 monetary fine. FINRA reports that Sharon Kwan consented to the entry of findings that Sharon Kwan engaged in undisclosed outside real estate activities with the firm’s customers. The findings also stated that Sharon Kwan provided inaccurate annual firm compliance attestations regarding her outside real estate activities
If you lost any money on investments with Sharon Kwan, you may be able to recover your losses from National Planning Corporation and/or Royal Alliance Associates, Inc. This is because National Planning Corporation and Royal Alliance Associates, Inc. had a duty to supervise Sharon Kwan.
If you lost money on investments with Sharon Kwan, 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 National Planning Corporation and/or Royal Alliance Associates, Inc., concerning Sharon Kwan’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 any investments with Sharon Kwan 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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