Goodman & Nekvasil P.A., May Recover Investor Losses | Ralph VonLutzow, Financial Advisor Barred from Securities Industry
Ralph VonLutzow was licensed with Oberweiss Securities, Inc. from 2003 to 2016. FINRA reports that that Ralph VonLutzow was barred from the securities industry on December 3, 2018 FINRA reports that Ralph VonLutzow consented to the sanction and to the entry of findings that he accepted loans from a senior investor and customer of his member firm, totaling $32,000, without obtaining written pre-approval from the firm. The findings stated that Ralph VonLutzow participated in private securities transactions, for compensation, involving investments made by the customer in a pharmaceutical start-up company, without providing prior written notice to, or receiving prior written approval from the firm. The findings also stated that Ralph VonLutzow provided false and misleading information to FINRA in response to requests for documents and information during the course of an investigation.
If you lost any money on investments with Ralph VonLutzow, you may be able to recover your losses from Oberweiss Securities, Inc. This is because Oberweiss Securities, Inc. had a duty to supervise Ralph VonLutzow.
If you lost money on investments with Ralph VonLutzow 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 against Oberweiss Securities, Inc. concerning Ralph VonLutzow’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 Ralph VonLutzow 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.