Theodore Gerald Rothman (Theodore Rothman) Barred from Securities Industry and Fired by First Allied Securities, Inc. – Goodman & Nekvasil P.A, May Recover Investor Losses

Goodman & Nekvasil P.A, May Recover Investor Losses – Theodore Gerald Rothman (Theodore Rothman) Barred from Securities Industry and Fired by First Allied Securities, Inc.

From 2013 until Theodore Rothman’s firing in 2016, Theodore Rothman was licensed with First Allied Securities, Inc. According to FINRA’s records, Theodore Rothman was fired by First Allied Securities, Inc. on May 6, 2016. First Allied Securities, Inc. reported to FINRA that Theodore Rothman was fired for failing to disclose an outside business activity.

Subsequent to Theodore Rothman’s firing, FINRA brought a disciplinary action against Theodore Rothman. FINRA barred Theodore Rothman from the securities industry.

If you lost any money on investments with Theodore Rothman, you may be able to recover your losses from First Allied Securities, Inc. This is because First Allied Securities, Inc. had a duty to supervise Theodore Rothman.

If you lost money on investments with Theodore Rothman 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 First Allied Securities, Inc., concerning Theodore Rothman’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.

Our Firm has a unique, unparalleled track record. 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 Theodore Rothman 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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