Goodman & Nekvasil P.A., May Recover Investor Losses – Timothy David Ballard (Tim Ballard) Fired by Securities America, Inc. and Barred from Securities Industry
From 2015 until Tim Ballard’s firing in 2016, Tim Ballard was licensed with Securities America, Inc. Tim Ballard was previously licensed with National Planning Corporation. According to FINRA’s records, Tim Ballard was fired by Securities America, Inc. on November 14, 2016. Securities America, Inc. reported to FINRA that Tim Ballard failed to follow firm policies and procedures related to responding to firm requests.
Subsequent to Tim Ballard’s firing by Securities America, Inc., FINRA investigated Tim Ballard and brought a disciplinary action against Tim Ballard. Tim Ballard was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on July 21, 2017. FINRA reports that Tim Ballard failed to respond to FINRA request for information.
FINRA reports that an arbitration claim was filed involving Tim Ballard’s conduct with a prior employer, alleging unsuitability; fraud and churning; and, negligence and breach of fiduciary duty. This arbitration claim settled for $77,500.
If you lost any money on investments with Tim Ballard, you may be able to recover your losses from Securities America, Inc and/or National Planning Corporation. This is because Securities America, Inc. and National Planning Corporation had a duty to supervise Tim Ballard.
If you lost money on investments with Tim Ballard, and believe 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 Securities America, Inc. and/or National Planning Corporation concerning Tim Ballard’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 investments with Tim Ballard 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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