Goodman & Nekvasil P.A, May Recover Investor Losses – Wayne Anthony Schultz (Wayne Schultz) Barred from Securities Industry
Wayne Shultz was licensed with Sterne Agee Financial Services, Inc. from January 2011 to June 2013.
FINRA brought a disciplinary action against Wayne Schultz in 2016. Wayne Schultz consented to a bar from the securities industry. FINRA reports that Wayne Schultz consented to the entry of findings that Wayne Schultz failed to provide documents and information requested by FINRA during its investigation concerning certain notes that Wayne Schultz had issued to an elderly client.
Subsequently, FINRA reports that the New Jersey Bureau of Securities brought an enforcement action against Wayne Schultz by revoking his registrations. The New Jersey Bureau of Securities alleged that Wayne Schultz is the subject of an order of a self-regulatory organization expelling him from a national securities association.
If you lost any money on investments with Wayne Schultz, including promissory notes, you may be able to recover your losses from Sterne Agee Financial Services, Inc. This is because Sterne Agee Financial Services, Inc. had a duty to supervise Wayne Schultz.
If you lost money on investments with Wayne Schultz, including promissory notes, 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 Sterne Agee Financial Services, Inc., concerning Wayne Schultz’ 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 Wayne Schultz, including promissory notes, 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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