Scott Riley – Financial Advisor Scott Riley Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Scott Riley CRD #5178446
Scott Riley is a financial advisor who was previously licensed with Edward Jones. According to FINRA, Scott Riley was suspended from associating with any FINRA member firm in any capacity for three months.
According to FINRA Allegations:
In June 2017, while a registered representative of Edward Jones, Scott Riley made three unauthorized trades in one customer’s account. Further, between July 2014 and July 2017, Scott Riley exercised discretion without written authorization in approximately 18 of Scott Riley’s Edward Jones customer accounts.
Through this conduct, Scott Riley violated FINRA Rule 2010 and NASD Conduct Rule 2510(b).
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Scott Riley 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 Riley’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 Riley 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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