Scott Fergang – Broker Scott David Fergang Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Scott Fergang a/k/a Scott David Fergang is a licensed financial advisor with Stifel, Nicolaus & Company. Scott Fergang was previously licensed financial with RBC Capital Markets LLC. According to FINRA, Scott Fergang was fined $5,000 and was suspended from the securities industry for 15 days in April 2021.
According to FINRA Allegations:
From February 2015 through March 2019, while associated with RBC, Fergang effected 814 trades in four customer accounts using discretion without the customers’ prior written authorization and without the Firm accepting these accounts as discretionary in writing. Based on the foregoing, Fergang violated NASD Rule 2510(b) and FINRA Rule 2010
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Scott Fergang 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 Scott Fergang’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 Scott Fergang 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 4/23/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.