Scott Garrison – Stanley Scott Garrison, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Scott Garrison CRD #1126118
Scott Garrison was a formerly licensed financial advisor with LPL Financial LLC in Bakersfield, California. FINRA reports that Scott Garrison was suspended for 4 months in August 2017.
ACCORDING TO FINRA: Scott Garrison consented to the sanctions and to the entry of findings that Scott Garrison engaged in an outside business activity, with a company, through which Scott Garrison conducted insurance sales, including sales of equity indexed annuities, for compensation, and never provided Scott Garrison’s member firm with written notice of Scott Garrison’s involvement with the company. The findings stated that Scott Garrison completed the firm’s annual compliance questionnaires and inaccurately answered on each questionnaire that Scott Garrison was not involved in any business activity outside of the firm (except Scott Garrison identified a teaching position on one of the questionnaires), had not participated in any equity indexed annuity transactions other than those processed through the firm, and had not received any compensation from any person or entity other than a current firm representative without the firm’s approval.
If you lost money on investments with Scott Garrison 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 Garrison’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 Scott Garrison 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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