Goodman & Nekvasil P.A, May Recover Investor Losses – Timothy Ruben Ward (Tim Ward) Barred from Securities Industry and Fired by Investment Professionals, Inc.
From 2008 until Tim Ward’s firing in 2013, Tim Ward was licensed with Investment Professionals, Inc. According to FINRA’s records, Tim Ward was fired by Investment Professionals, Inc. on April 15, 2013. Investment Professionals, Inc. reported to FINRA that Tim Ward was fired for violating the firm’s policies and FINRA rules by failing to report a customer complaint as well as failing to report and obtain approval of an outside business activity. Additionally, Investment Professionals, Inc. reported that Tim Ward admitted to misappropriating customer funds for personal use.
Subsequent to Tim Ward’s firing, FINRA brought a disciplinary action against Tim Ward on May 9, 2013. Tim Ward consented to a bar from the securities industry. FINRA reports that Tim Ward consented to the entry of findings that the customers gave him $10,000 in cash to invest in a mutual fund. Instead, Tim Ward converted the funds for his own personal use and created several false quarterly account statements that showed that the money had been invested in the mutual fund.
If you lost any money on investments with Tim Ward or if Tim Ward misappropriated any funds from you, you may be able to recover your losses from Investment Professionals, Inc. This is because Investment Professionals, Inc. had a duty to supervise Tim Ward.
If you lost money on investments with Tim Ward and believe that the investments may have been unsuitable or otherwise improper for you, or if Tim Ward misappropriated any funds from you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Investment Professionals, Inc., concerning Tim Ward’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 Ward or if Tim Ward misappropriated any funds from you 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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