Goodman & Nekvasil P.A., May Recover Investor Losses – William Mark Yawn (William Yawn) Fired by LPL Financial LLC and Stratos Wealth Partners, Ltd.
From 2008 until William Yawn’s firing in 2014, William Yawn was licensed with LPL Financial LLC. William Yawn was also licensed with Stratos Wealth Partners, Ltd. William Yawn is now licensed with Summit Brokerage Services, Inc. According to FINRA’s records, William Yawn was fired by LPL Financial LLC and Stratos Wealth Partners, Ltd. on May 16, 2014. LPL Financial LLC and Stratos Wealth Partners, Ltd. reported to FINRA that William Yawn violated firm policy regarding mutual fund trading.
FINRA reports that an arbitration claim was filed, alleging William Yawn frequently traded in and out of mutual funds within short time frames in addition to unsuitable and unapproved use of margin. This arbitration claim involving William Yawn’s conduct with LPL Financial LLC was settled for $40,000.
FINRA also reports that a previous complaint involving William Yawn’s conduct was filed alleging unsuitability, misrepresentation and negligence regarding Morgan Trust Accounts. This complaint settled for $125,000.
If you lost any money on investments with William Yawn, you may be able to recover your losses from LPL Financial LLC, Stratos Wealth Partners, Ltd. and/or Summit Brokerage Services, Inc. This is because LPL Financial LLC, Stratos Wealth Partners, Ltd. and Summit Brokerage Services, Inc. had a duty to supervise William Yawn.
If you lost money on investments with William Yawn 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, Stratos Wealth Partners, Ltd. and/or Summit Brokerage Services, Inc. concerning William Yawn’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 $170 million on behalf of victimized investors. If you lost money on investments with William Yawn and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all the case are handles on a purely contingency fee basis), please contact us.
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