Scott Mason, Financial Advisor Scott Mason Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Scott Mason CRD #3207386
Scott Mason was a formerly licensed financial advisor with Voya Financial Advisors, Inc and LPL Financial LLC. According to Scott Mason’s CRD, Scott Mason was suspended from the securities industry for four months in July 2019.
According to FINRA:
Scott Mason consented to the sanctions and to the entry of findings that Scott Mason borrowed a total of $108,360 from Scott Mason’s member firm’s customer without providing prior notice to, and receiving written approval from the firm, and Scott Mason modified the loan terms of a promissory note, of one of the loans, without notifying the firm. The findings stated that the firm’s client was elderly and a family friend of Scott Mason, who was also his client. Scott Mason used the borrowed funds for personal expenses, and he repaid the client in full, with interest. Scott Mason also falsely stated on the firm’s annual compliance questionnaires that he had not borrowed from or lent to any firm customers.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Scott Mason 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 Mason’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 Mason 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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