Susan Walker – Financial Advisor Susan Walker Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Susan Walker CRD #1823041
From 2008 until Susan Walker’s firing in 2013, Susan Walker was licensed iwth Ameriprise Financial Services, Inc. According to FINRA’s records, Susan Walker was fired by Ameriprise Financial Services, Inc. on March 22, 2013. Ameriprise Financial Services, Inc. reported to FINRA that Susan Walker was fired after the firm concluded client funds were misappropriated.
Subsequent to Susan Walker’s firing by Ameriprise Financial Services, Inc., FINRA investigated Susan Walker and brought a disciplinary action against Susan Walker. Susan Walker was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on July 28, 2013. FINRA reports that Susan Walker consented to the sanction and to the entry of findings that Susan Walker failed to appear for FINRA requested testimony or provide documents in connection with an allegation Susan Walker misappropriated client funds.
FINRA reports that a complaint involving Susan Walker’s conduct with Ameriprise Financial Services, Inc. was filed, alleging theft of assets by Susan Walker. This complaint was settled for $151,390.98.
If you lost any money on investments with Susan Walker, or if funds were misappropriated from you, you may be able to recover your losses from Ameriprise Financial Services, Inc. This is because Ameriprise Financial Services, Inc. had a duty to supervise Susan Walker.
If you lost money on investments with Susan Walker, and believe that the investments may have been unsuitable or otherwise improper for you, or if funds were misappropriated from you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Ameriprise Financial Services, Inc. concerning Susan Walker’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 Susan Walker or if funds were misappropriated from you and you 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, Susan Walker, Walker, Ameriprise Financial Services, Susan Elizabeth Walker, Susan Elizabeth Stangel, SEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, Securities