Richard Coleman, Financial Advisor Richard Coleman Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Richard Coleman aka Rich Coleman CRD #2720422
Richard Coleman was a formerly licensed financial advisor with SW Financial, Richard James & Associates, Inc. and Salomon Whitney Financial. According to FINRA, Richard Coleman was suspended from the securities industry for 2 years and fined $15,000 in August 2019.
According to FINRA allegations:
Between October 2015 and February 2017 (the “Relevant Period”), Richard Coleman excessively traded four customers’ accounts in violation of FINRA Rules 2111 and 2010. In addition, Richard Coleman marked sale orders as unsolicited when, in fact, they were solicited, in violation of FINRA Rules 4511 and 2010.
According to Richard Coleman’s CRD, a customer dispute is pending alleging negligence, breach of contract, breach of fiduciary duty, excessive trading, unsuitability and fraud. This pending customer dispute alleges damages of $85,000.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Richard Coleman 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 Richard Coleman’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 Richard Coleman 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.
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