Nick Palumbo – Financial Advisor/Broker Barred by FINRA | Recover Investment Losses

Nick Palumbo – Financial Advisor/Broker Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses

Nick Palumbo a/k/a Nick Richard Palumbo CRD #1069948

Nick Palumbo is a previously licensed financial advisor with Park Avenue Securities LLC. According to Palumbo’s BrokerCheck Report, Palumbo was barred from the securities industry in June 2021.

According to FINRA:

Palumbo consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with an alleged private securities transaction referenced in the Form U5 filing submitted by his member firm. The findings stated that FINRA also requested documents and information in order to investigate his potential involvement with OBAs.

Goodman & Nekvasil P.A. May Recover Investor Losses

If you lost money on investments with Nick Palumbo and believe 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 concerning Nick Palumbo’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 $200 million on behalf of victimized investors. If you lost money on investments with Nick Palumbo 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.

Some of the information in this blog post was obtained on 10/8/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.

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