SEC Charges Financial Adviser Jeffrey Arsenault with Misappropriation of $4.1 million – Goodman & Nekvasil, P.A. May Recover Investor Losses
SEC Charges Financial Adviser Jeffrey Arsenault with Misappropriation of $4.1 million.
JEFFREY DAVID ARSENAULT
CRD#: 1506180
Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.
JEFFREY DAVID ARSENAULT (CRD#: 1506180), a registered representative for J. ALDEN ASSOCIATES, INC. in Wayne, PA, is charged with misappropriating $4.1 million. The SEC’s complaint charges Arsenault, Old Greenwich Capital Advisors, LLC and OGCP Management Co, LLC with violating the antifraud provisions of Section 10(b) of the Securities Exchange Act of 1934 and Rules 10b-5(a) and (c) thereunder and Sections 206(1), (2) and (4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. The complaint seeks injunctive relief, disgorgement plus prejudgment interest, and civil monetary penalties from the defendants, and an officer and director bar against Arsenault.
Goodman & Nekvasil, P.A. is Currently Representing Victims of Misappropriation by their Financial Adviser
SEC Charges Financial Adviser Jeffrey Arsenault with Misappropriation of $4.1 million.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
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.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 10/17/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.