Nina Maines – Financial Advisor/Broker Nina Maines Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Nina Maines is a licensed financial advisor with Cadaret, Grant & Co. According to Nina Maines’ BrokerCheck report, Nina Maines was suspended from the securities industry for 15 days and fined $5,000 in October 2020.
According to FINRA Allegations:
Maines consented to the sanctions and to the entry of findings that she exercised discretion without written authorization in customer accounts. The findings stated that Maines effected these trades on the basis of communications with customers that occurred three or more days before she placed the trades. Although the customers knew that Maines was exercising discretion in their accounts, she did not have prior written authorization to do so from any of the customers. In addition, Maines member firm had not approved any of these accounts for discretionary trading.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Nina Maines 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 Nina Maines’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 $180 million on behalf of victimized investors. If you lost money on investments with Nina Maines 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 9/29/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.