Robert Barnard Financial Advisor/Broker Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Robert Barnard was a previously licensed financial advisor with Principal Securities, Inc. Robert Barnard was barred from the securities industry in September 2020. According to FINRA, Barnard consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into allegations referenced in Form U5s filed by his member firm. The findings stated that Barnard’s firm filed a Form U5 reporting that it had discharged Barnard after it found evidence that he had inappropriate personal financial dealings with clients. Subsequently, the firm amended his Form U5 disclosing an arbitration filed by an investor against the firm that alleged that as an employee of the firm, Barnard sold the customer outside investments and borrowed money from her and her late husband.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Robert Barnard 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 Robert Barnard’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 Robert Barnard 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 10/2/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.