Richard Alan Sampley (Rick Sampley), Financial Advisor Suspended by FINRA | Goodman and Nekvasil May Recover Investors Losses

Goodman and Nekvasil May Recover Investors Losses | Richard Alan Sampley (Rick Sampley), Financial Advisor Suspended by FINRA

FINRA reports that Rick Sampley was previously licensed with Morgan Keegan & Company and Raymond James & Associates, Inc. Rick Sampley, was suspended from association with any FINRA member in any capacity for ten months and fined $15,000.

FINRA reports Rick Sampley consented to the sanctions and to the entry of findings that while associated with a member firm, Rick Sampley participated in private securities transactions without providing adequate prior written notice to the firm. FINRA found that in November 2013, Rick Sampley solicited three customers to invest $357,000 in BE via warrants (renewable energy company). FINRA reports that BE wired $23,205 to the Firm as a payment for the warrant transactions, referencing Richard Sampley and the three customers. FINRA reports that Rick Sampley received $9,514 of the fee, according to his payout percentage. In June 2014, Rick Sampley solicited a prospective customer (who later became a Firm customer) to invest $2.5 million in BE via warrants. FINRA reports that a fee for that transaction was also sent to the Firm but in this instance was rejected and returned to BE.

Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments.

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. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action.

Goodman & Nekvasil, P.A., has filed hundreds of cases against brokerage firms selling high-risk investments and has recovered more than $180 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.  All our cases are handled on a purely contingency fee basis.

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. Finally, the filing of such a case should not affect your ownership of these investments in any way.

If you incurred losses on your investment with Richard Sampley, you may be able to recover your losses from Raymond James & Associates. This is because Raymond James & Associates had a duty to supervise Rick Sampley. If you 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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