Rani Soto – Financial Advisor/Broker Rani Soto Investigated by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses
Rani Soto was a previously licensed financial advisor with Prudential Investment Management Services LLC. FINRA reports that Rani Soto was investigated by FINRA.
According to FINRA Allegations:
On July 17, 2020, FINRA made a preliminary determination to recommend that disciplinary action be brought against Rani Soto alleging violations of FINRA Rules 3270 and 2010 in that Soto failed to provide prior written notice to his member firm of outside businesses prior to being compensated by, or having a reasonable expectation of compensation from them; and violation of FINRA Rules 8210 and 2010 in that Soto failed to timely respond to requests for documents and information related to an ongoing investigation.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Rani Soto 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 Rani Soto’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 Rani Soto 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 8/31/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.