Stanley Bernard Secor (Stanley Secor) Financial Advisor/Broker Stanley Secor Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Stanley Bernard Secor (Stanley Secor) CRD #1982414
Stanley Secor was a previously licensed financial advisor/broker with Cetera Advisor Networks LLC and Girard Securities, Inc. According to FINRA, Stanley Secor was barred from the securities industry indefinitely in July 2020.
According to FINRA Allegations:
Stanley Secor consented to the sanction and to the entry of findings that Stanley Secor refused to produce information and documents requested by FINRA during the course of an investigation into the nature and scope of Stanley Secor’s relationship with certain customers and Stanley Secor’s communication to his member firms about those relationships to determine whether he engaged in conduct that violated federal securities laws or regulations or FINRA rules.
According to Stanley Secor’s BrokerCheck Report, Stanley Secor was discharged from Cetera Advisor Networks LLC in December 2019. While under suspension by the firm, Cetera Advisor Networks LLC alleged that Stanley Secor violated the terms of his suspension by interfering with the forwarding of securities-related emails to Stanley Secor’s regional director.
According to Stanley Secor’s BrokerCheck, Stanley Secor is also involved in a pending investigation initiated by the Utah Division of Securities in October 2019. According to the Description of Investigation, the Utah Division of Securities found that Stanley Secor engaged in the following actions: sharing in client accounts, undisclosed and unapproved estate roles and trustee appointments, designation as client’s beneficiary without firm approval, control and custody of client funds, false statements to the Division, and dishonest or unethical practices.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Stanley Secor 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 Stanley Secor’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 Stanley Secor 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 8/25/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.