Nicholas Cavazos – Ciro Gilbert Cavazos, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Losses
Nicholas Cavazos, Ciro Cavazos #4438921
Nicholas Cavazos was previously registered with Raymond James Financial Services, Inc. in Chico, California. According to Nicholas Cavazos’s CRD, FINRA suspended Nicholas Cavazos from the securities industry for three months in August 2016. According to FINRA, Nicholas Cavazos consented to the sanctions and to the entry of findings that while registered with a member firm, he borrowed money from one of his customers. The findings stated that the loan was undocumented and did not have specific repayment terms or a fixed maturity date, and Nicholas Cavazos orally agreed to repay the loan when he was able to do so. The loan remained outstanding when Nicholas Cavazos’s registrations transferred to another firm and the customer’s account followed, and he has partially repaid the money borrowed from the customer.
According to Nicholas Cavazos’ CRD, Raymond James Financial Services, Inc. dicharged Nicholas Cavazos, alleging that Nicholas Cavazos borrowed money from a client, while associated with his prior firm, without disclosing such loan to Raymond James Financial Services, Inc.
If you lost any money on investments with Nicholas Cavazos, you may be able to recover your losses from Raymond James Financial Services, Inc. If you lost money on investments with Nicholas Cavazos 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 Raymond James Financial Services, Inc. concerning Nicholas Cavazos’ 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.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Nicholas Cavazos 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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