Stephen Winkelman: Financial Advisor Stephen Winkelman Barred from Securities Industry

Stephen Winkelman: Financial Advisor Stephen Winkelman Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses

Stephen Winkelman CRD #2223820

From 2013 until Stephen Winkelman’s firing in 2014, Stephen Winkelman was licensed with Independent Financial Group, LLC. According to FINRA’s records, Stephen Winkelman was discharged from Independent Financial Group, LLC on May 22, 2014. Independent Financial Group, LLC reported to FINRA that Stephen Winkelman was accused of violating the Firm’s email policies. Independent Financial Group, LLC reported to FINRA that Stephen Winkelman was found to have transmitted email messages through an unapproved email account.

Subsequent to Stephen Winkelman’s firing by Securities America, Inc., FINRA investigated Stephen Winkelman and brought a disciplinary action against Stephen Winkelman. Stephen Winkelman was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on February 17, 2015. FINRA reports that Stephen Winkelman failed to respond to FINRA request for information.

If you lost any money on investments with Stephen Winkelman, you may be able to recover your losses from Independent Financial Group, LLC. This is because Centaurus Financial, Inc. had a duty to supervise Stephen Winkelman.  

If you lost money on investments with Stephen Winkelman 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 against Independent Financial Group, LLC concerning Stephen Winkelman’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.

Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Stephen Winkelman 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. 

Keyword: Stephen Winkelman, 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 Winkelman, 

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