Roger Duval – Financial Advisor/Broker Roger Allegedly Misappropriated Funds | Goodman & Nekvasil P.A., May Recover Investor Losses
Roger Duval was a previously licensed financial advisor with MSI Financial Services, Inc. According to Roger Duval’s CRD, Roger Duval allegedly misappropriated funds.
According to Allegations on Roger Duval’s CRD:
On May 24, 2019, the Washington Securities Division entered a Summary Order to Suspend Registrations and Notice of Intent to Enter an Order to Revoke Registrations, Deny Future Registrations, Impose Fines, and Charge Costs against Roger Allan Duval. The Summary Order alleges that between June 2017 and April 2019, Duval made unauthorized withdrawals totaling $246,400 from three Washington resident brokerage accounts. Roger Duval misappropriated the funds by depositing them into a credit union account under his control. Two of the accounts are held by elderly residents, and one account was owned by a deceased resident, which Roger Duval withdrew funds from soon after the resident’s death in 2017. The Summary Order suspends Roger Duval’s investment adviser representative and securities salesperson registration and gives notice of the Securities Division’s intent to enter an order to revoke Duval’s securities registrations in Washington, to deny future securities registration applications by Duval, and to impose fines and costs.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Roger Duval 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 Roger Duval’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 Roger Duval 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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