Goodman & Nekvasil P.A, May Recover Investor Losses – Wilfredo Felix, Jr., Under FINRA Investigation
Since August 2001, Wilfredo Felix, Jr. has been licensed with Primex. On July 21, 2016, FINRA reported that an investigation involving Wilfredo Felix Jr’s conduct is pending with alleged potential violations: 8210 – alleged untimely responses; alleged email retention/record keeping-Rule 4511 and 2010; alleged registration-Rule 3010 and 2010; alleged recordkeeping – 17a-3, 17a-4, NASD Rules 3110, 3010, and FINRA rules 4511, and 2010
FINRA also reports that an arbitration claim involving Wilfredo Felix, Jr.’s conduct with Primex was filed in 2007. The claimant alleged unsuitable trading, fraud, breach of express and implied contract, breach of regulatory and fiduciary duties, and account related negligence. The arbitration panel issued a $17,130 award against Primex and Wilfredo Felix, Jr. Wilfredo Felix Jr. paid the entirety of this award.
If you lost any money on investments with Wilfredo Felix, Jr. you may be able to recover your losses from Primex. This is because Primex had a duty to supervise Wilfredo Felix, Jr.
If you lost money on investments with Wilfredo Felix, Jr. 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 Primex concerning Wilfredo Felix, Jr.’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 Wilfredo Felix, Jr. 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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