Stephen Whiting – Financial Advisor Stephen Whiting Suspended from Securities Industry

Stephen Whiting, Financial Advisor Stephen Whiting Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Stephen Whiting CRD #1752042

Stephen Whiting is a currently licensed financial advisor with Sigma Financial Corporation and Parkland Securities, LLC. Stephen Whiting was previously licensed with Concorde Investment Services, LLC. According to FINRA, Stephen Whiting was suspended from the securities industry for two months in July 2019.  

According to FINRA Allegations:

Between June 1, 2016 and August 8, 2016, Stephen Whiting falsely attested that personnel of the Firm had spoken with a customer to confirm the authenticity of three requests to wire funds from the customer’s account to a third party, even though Stephen Whiting knew that no one at the Firm had done so. In addition, Stephen Whiting reduced the amount of the wire on one wire transfer request form that bore the customer’s signature without obtaining the customer’s authorization to alter the form. In total, Stephen Whiting’s misconduct caused Concorde to effect three unauthorized wire transfers totaling $545,000.

Goodman & Nekvasil, P.A. May Recover Investor Losses:

If you lost money on investments with Stephen Whiting 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 Stephen Whiting’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 Stephen Whiting 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. 

Stephen Whiting, Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange, Stephen Whiting

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