Robert Montes, Financial Advisor Robert Montes Barred from Securities Industry by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses
Robert Montes CRD #835488
Robert Montes was a formerly licensed financial advisor with Wells Fargo Advisors, LLC. According to FINRA, Robert Montes was barred from the securities industry in July 2019. According to FINRA, Robert Montes violated FINRA Rules 8210 and 2010 by not providing certain documents and information requested pursuant to FINRA Rule 8210.
According to FINRA, in early 2019, FINRA received a tip alleging, among other things, that Robert Montes may have misused assets of an elderly customer. In connection with that investigation, FINRA staff sent a request to Robert Montes for documents and information pursuant to FINRA Rule 8210. Montes’ response was due July 1, 2019. As stated in his counsel’s letter to FINRA staff on July 1, 2019, on a telephone call with FINRA staff on July 2, 2019, and by this agreement, Robert Montes acknowledges that he received FINRA’s request dated June 5, 2019, and will not produce the documents and information requested at any time. By refusing to provide the documents and information requested pursuant to FINRA Rule 8210, Robert Montes violates FINRA Rules 8210 and 2010.
If you lost any money on investments with Robert Montes, you may be able to recover your losses. If you lost money on investments with Robert Montes 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 Montes’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 Montes 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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