Peter Joseph Neary Jr. (Peter Neary) – Financial Advisor/Broker Peter Neary Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Peter Neary is a currently licensed financial advisor with Cabot Lodge Securities LLC. Peter Neary was a previously licensed financial advisor with IFS Securities. According to Peter Neary’s BrokerCheck report, Peter Neary was suspended from the securities industry for 20 days and fined $5,000 in December 2016.
According to FINRA Allegations:
Neary consented to the sanctions and to the entry of findings that he effected approximately 130-140 transactions (including both purchases and sales of securities) in the account of one of his former customers without having obtained prior written authorization from the customer and written acceptance of the account as discretionary by his member firm.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Peter Neary 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 Peter Neary’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 Peter Neary 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 10/1/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.