RAFAEL KLEIN Is The Subject of A FINRA Investigation – Goodman & Nekvasil, P.A. May Recover Investor Losses
RAFAEL KLEIN is the subject of a FINRA Investigation.
RAFAEL SCOTT KLEIN (CRD#: 2865823), a broker for DAVID LERNER ASSOCIATES, INC. in Westport, CT, is the subject of a FINRA Investigation. FINRA made a preliminary determination to recommend that disciplinary action be brought against RAFAEL SCOTT KLEIN. FINRA alleges that the broker recommended investments in Energy 11, L.P., and Energy 12, L.P. to customers without a reasonable basis to believe the investments were suitable for those customers based on their investor profiles.
RAFAEL KLEIN is the subject of a FINRA investigation.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 6/04/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.