Goodman & Nekvasil P.A, May Recover Investor Losses – Thomas Joseph Breslin, Jr. (Thomas Breslin) Suspended from Securities Industry and Fired by LPL Financial LLC
From 2005 until Thomas Breslin’s firing in 2016, Thomas Breslin was licensed with LPL Financial LLC. According to FINRA’s records, Thomas Breslin was fired by LPL Financial LLC on March 23, 2016. LPL Financial LLC reported to FINRA that Thomas Breslin was fired for directing clients to an unapproved investment in violation of firm policy.
Subsequent to Thomas Breslin’s firing, FINRA brought a disciplinary action against Thomas Breslin. Thomas Breslin consented to a 5-month suspension and a $5,000 monetary fine. FINRA reports that Thomas Breslin consented to the entry of findings that Thomas Breslin participated in private securities transactions involving multiple firm customers in which $375,000 was invested in a biopharmaceutical company. FINRA stated that Thomas Breslin failed to notify his firm, and that Thomas Breslin inaccurately stated on annual compliance questionnaires that Thomas Breslin submitted to the firm that he had not participated in private securities transactions.
If you lost any money on investments with Thomas Breslin, you may be able to recover your losses from LPL Financial LLC. This is because LPL Financial LLC had a duty to supervise Thomas Breslin.
If you lost money on investments with Thomas Breslin, 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 LPL Financial LLC, concerning Thomas Breslin’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 Thomas Breslin 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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