Goodman & Nekvasil P.A., May Recover Investor Losses – Stephen Lawrence Brown Licensed with Western International Securities, Inc.
Stephen Brown has been licensed with Western International Securities, Inc. since 2006. FINRA reports that three complaints and/or arbitration claims were filed involving Stephen Brown’s conduct with Western International Securities, Inc. alleging suitability negligence, supervision negligence, breach of fiduciary duty, unsuitable recommendations, excessive trading, and unauthorized transactions. These complaints and/or arbitration claims involving Stephen Brown’s conduct were settled for $1,285,000, $150,000, and $120,000.
FINRA also reports that two prior arbitration claims involving Stephen Brown’s conduct did not settle and proceeded to final hearing. The arbitration panel ordered monetary awards to the customer in both of these cases.
According to FINRA, Stephen Brown was previously suspended from associating with any member of the NASD for 7 days. Stephen Brown consented to a finding by FINRA that he effected the purchase of securities in the accounts of public customers without their knowledge or consent.
If you lost any money on investments with Stephen Brown, you may be able to recover your losses from Western International Securities, Inc. This is because Western International Securities, Inc. had a duty to supervise Stephen Brown.
If you lost money on investments with Stephen Brown 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 Western International Securities, Inc. concerning Stephen Brown’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 Stephen Brown 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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