Sean Zhang – Financial Advisor/Broker Sean Zhang Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Sean Zhang a/k/a Xiangyu Yu Zhang was a previously licensed financial advisor with Wells Fargo Clearing Services, LLC, LPL Financial LLC and Cetera Investment Services LLC. According to Sean Zhang’s CRD, Sean Zhang was barred from the securities industry in August 2019.
According to FINRA Allegations:
Sean Zhang failed to respond to FINRA request for information.
Customer Dispute Pending 9/10/2019: Clients allege violation of FINRA Rule 2111, Breach of Fiduciary Duty, Breach of Contract, Agency, Liability, Elder Financial Abuse, and California Securities Law.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Sean Zhang 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 Zhang’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 Sean Zhang 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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