Stephen Schwartz – Arbitration Claims Filed Involving Financial Advisor Stephen Schwartz | Goodman & Nekvasil, P.A. May Recover Investor Losses
Stephen Schwartz CRD #869346
Since June 2002, Stephen Schwartz has been licensed with Herbert J. Sims & Co. Inc. FINRA reports that an arbitration claim has been filed, alleging that Stephen Schwartz breached Stephen Schwartz’s fiduciary duty to recommend an appropriate investment strategy to preserve principal and committed suitability violations. This claim was settled by Herbert J. Sims & Co. Inc. for $70,000.
FINRA also reports that a second arbitration claim involving Stephen Schwartz’s conduct with Herbert J. Sims & Co. Inc. is pending. That pending claim alleges damages of $494,387.63.
If you lost any money on investments with Stephen Schwartz, you may be able to recover your losses from Herbert J. Sims & Co. Inc. This is because Herbert J. Sims & Co. Inc. has a duty to supervise Stephen Schwartz.
If you lost money on investments with Stephen Schwartz and believe that 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 against Herbert J. Sims & Co. Inc. concerning Stephen Schwartz’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 $170 million on behalf of victimized investors. If you lost money on investments with Stephen Schwartz 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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