Roberto Montano – Financial Advisor/Broker Robert Montano Suspended by FINRA

Roberto Montano – Financial Advisor/Broker Robert Montano Suspended by FINRA

Roberto Montano CRD #3003372

Roberto Montano was previously licensed with Waddell & Reed and U.S. Bancorp Investments, Inc. FINRA reports that Roberto Montano, was suspended indefinitely from association with any FINRA member in any capacity on November 14, 2018. FINRA reports Roberto Montano failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

FINRA also reports that Roberto Montano was suspended for three-months and fined $5,000 in December of 2016 for the following allegations: accepted loans from two customers of his member firm. The findings stated that Montano was unrelated to the customers and the firm prohibited its registered representatives from loaning or borrowing money to or from customers who were not family members.” According to FINRA, “One of the loans is still unpaid.”

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 Roberto Montano, you may be able to recover your losses from Waddell & Reed and/or U.S. Bancorp Investments, Inc.  This is because Waddell & Reed and U.S. Bancorp Investments, Inc., had a duty to supervise Roberto Montano. 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. 

Roberto Montano, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, SEC, Roberto Montano

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