RYAN BENNETT Terminated After FIRST HEARTLAND CAPITAL, INC. Allegations – Goodman & Nekvasil, P.A.

RYAN BENNETT Terminated After FIRST HEARTLAND CAPITAL, INC. Allegations – Goodman & Nekvasil, P.A., May Recover Investor Losses

RYAN BENNETT Terminated After FIRST HEARTLAND CAPITAL, INC. Allegations.

RYAN EMERSON BENNETT
CRD#: 6274472

Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.

RYAN EMERSON BENNETT (CRD#: 6274472 ), a former broker for FIRST HEARTLAND CAPITAL, INC., in Camarillo, CA, was terminated by his employer. FIRST HEARTLAND CAPITAL, INC. alleged: 1) FAILURE TO FOLLOW FIRM POLICY REQUIRING THE USE OF AN EMAIL ADDRESS HOSTED BY THE FIRM FOR ALL SECURITIES-RELATED COMMUNICATIONS. 2) KNOWINGLY ENGAGING IN A OUTSIDE BUSINESS ACTIVITY AFTER THE FIRM DISAPPROVED THE ACTIVITY AND MR. BENNETT CONFIRMED HE WAS NO LONGER PARTICIPATING IN THE ACTIVITY. 3) VIOLATING THE FIRM’S PRIVACY POLICY BY SHARING CUSTOMER INFORMATION WITH AN UNAFFILIATED RIA THAT HAD NO BUSINESS RELATIONSHIP WITH THE CUSTOMER OR THE FIRM. 4) PARTICIPATING IN AN UNDISCLOSED OUTSIDE BUSINESS ACTIVITY. 5) ARRANGING FOR THE EXTNSION OF CREDIT FROM A FIRM CUSTOMER TO A BUSINESS OWNED BY A FRIEND OF MR. BENNETT’S AGAINST FIRM POLICY.

Outside Business Activities of Registered Persons

FINRA requires that a registered person provide prior written notice to the member, in such form as specified by the member before engaging in an outside business activity. FINRA suspended Bennett on November 13, 2024.

The former First Heartland Capital, Inc. broker consented to the imposition of the following sanctions: A three-month suspension from associating with any FINRA member in all capacities and a $10,000 fine.

RYAN BENNETT Terminated After FIRST HEARTLAND CAPITAL, INC. Allegations.

Goodman & Nekvasil, P.A., is investigating brokers who may have provided unsuitable investment recommendations.

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 11/15/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.

[]

1 Step 1

FormCraft - WordPress form builder