ROGER TURCOTTE Suspended by FINRA – Goodman & Nekvasil, P.A. May Recover Investor Losses
CETERA INVESTMENT ADVISERS LLC investment adviser, ROGER TURCOTTE Suspended by FINRA.
CRD#: 1180997
Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.
Without admitting or denying the findings, Turcotte consented to the sanctions and to the entry of findings that he caused his member firm to make and preserve inaccurate books and records by mismarking as unsolicited order tickets for equity transactions that he recommended to his customers. Turcotte received $3,696.97 in commissions for four transactions which, had he marked them accurately, would have been cancelled.
ROGER PHILIP TURCOTTE (CRD#: 1180997), a registered representative for CETERA INVESTMENT SERVICES LLC in Tampa, FL, is fined $10,000.00 and suspended for two months.
Roger Turcotte Suspended by FINRA.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 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.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 10/22/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.