Sherwin Sargeant Barred After FINRA Allegations  – Goodman & Nekvasil, P.A.

Sherwin Sargeant Barred After FINRA Allegations  – Goodman & Nekvasil, P.A., May Recover Losses

Sherwin Sargeant Barred After FINRA Allegations.

Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.  

SHERWIN EDISON SARGEANT (CRD#: 5096798), a former broker in Orlando, FL,  was terminated by PLANMEMBER SECURITIES CORPORATION.  The voluntary resignation was in connection to an undisclosed business activity during email review. A background check revealed that the representative appeared to have additional undisclosed outside business activities. The representative had cooperated with the review however they resigned prior to providing all requested information, according to a statement from the broker dealer.
FINRA subsequently barred Sargeant from associating with a member permanently.
The FINRA disciplinary action stated that Sargeant consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into his involvement with undisclosed OBAs, including those potentially relating to crypto assets.
Sherwin Sargeant

Sherwin Sargeant Barred After FINRA Allegations.

Goodman & Nekvasil, P.A., is investigating brokers who may have recommended unsuitable investments. 

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 1/16/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.

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