Robert Prettyman – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Robert Prettyman is a previously licensed financial advisor/broker with Cambridge Investment Research, Inc. and Hornor, Townsend & Kent LLC.
According to FINRA, Robert Prettyman was fined $5,000 and suspended from the securities industry for 1 month in July 2021.
According to FINRA Allegations:
Prettyman consented to the sanctions and to the entry of findings that he reused customers’ signatures on documents for account openings and transactions, including distribution requests, and on certain documents, altered the signature date and/or other information with ink and correction fluid. The findings stated that Prettyman then submitted the documents to his member firm. The underlying transactions were all authorized and none of the customers complained.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Robert Prettyman 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 Prettyman’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 $200 million on behalf of victimized investors. If you lost money on investments with Robert Prettyman 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 9/7/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.