Sean Casterline – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Sean Casterline a/k/a Sean Donovan Casterline is a licensed financial advisor with Delta Securities Company, LLC.
According to FINRA:
From May 2018 to June 2019, Casterline participated in private securities transactions by soliciting the sale of approximately $1.5 million in securities to 20 investors without providing prior notice to his firm, in violation of FINRA Rules 3280 and 2010.
Customer Dispute 8/5/21:
On or about August 5, 2021, the Company and Mr. Casterline received notice that [REDACTED] had commenced an arbitration proceeding to recover losses of approximately $175,000 to have incurred from the purchase of securities issued by Tuscan Gardens Growth and Income Fund, LLC.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Sean Casterline 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 Sean Casterline’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 Sean Casterline 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 1/4/2022 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.