Scott Hananel Suspended – Broker/Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses
According to FINRA: From July 2014 through December 2018, Hananel’s short term trading in the firm accounts of six customers was excessive and unsuitable given the customers’ investment profiles. The short-term trading generated significant losses and trading costs in the form of commissions, markups, and markdowns.
Hananel also exercised discretionary trading authority in the customers’ Aegis accounts when he placed a total of 571 trades between January 2015 and September 2017 without discussing the specific trades on the dates of the transactions with the customers. None of the customers’ accounts were approved for discretionary trading by the Firm.
Scott Hananel Consented to the Imposition of the Following FINRA Sanctions:
A 15-month suspension from associating with any FINRA member in all capacities and a $7,500.00 fine.
Scott Hananel was a licensed broker with AEGIS CAPITAL CORP. (CRD#:15007) until 02/02/2021. Hananel has six customer complaints. Three of those customer complaints settled and three of those complaints are pending FINRA Arbitration.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Scott Hananel 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 Hananel’s conduct. 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. You pay us nothing, not even the costs and expenses which the firm will advance on your behalf if we do not recover money.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for almost 40 years. Goodman & Nekvasil, P.A. has recovered more than $250 million on behalf of victimized investors. If you lost money on investments with Scott Hananel and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained on 3/30/22 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.