Orlando Vargas – Financial Advisor Orland Vargas Barred from Securities Industry

Orlando Vargas – Financial Advisor Orland Vargas Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Orlando Vargas CRD #5703625

Orlando Vargas was a previously licensed financial advisor with Fidelity Brokerage Services LLC. According to FINRA, Orlando Vargas was barred from the securities industry in August 2019.

ACCORDING TO FINRA: Orlando Vargas consented to the sanction and to the entry of findings that Orlando Vargas falsely represented to his member firm that he had purchased computer equipment, obtained $2,000 in reimbursement to which he was not entitled and thereby converted firm funds. The findings stated that Orlando Vargas sought reimbursement under a firm sponsored program by which it reimbursed its employees for personal computer equipment purchases, by submitting to the firm order information for computer equipment that he had not actually purchased. In fact, Orlando Vargas had canceled the orders before completing the purchase of the computer equipment. The findings also stated that Orlando Vargas provided false information in written responses to FINRA regarding his use of the firm’s computer reimbursement program.

If you lost money on investments with Orlando Vargas 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 Orlando Vargas’ 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 Orlando Vargas 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. 

Orlando Vargas, Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange, Orlando Vargas

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