Goodman & Nekvasil P.A., May Recover Investor Losses | Steven Franklin Brandt (Steve Brandt), Arbitration Claim Filed Involving Financial Advisor
Steve Brandt has been previously licensed with The Strategic Financial Alliance, Inc., LPL Financial LLC and Cetera Advisors LLC. FINRA reports that an arbitration claim involving Steve Brandt’s conduct with Cetera Advisors LLC was filed. FINRA reports that Steve Brandt was a subject of the customer’s complaint against Steve Brandt’s member firm that asserted the following causes of action: unsuitable investments and investment strategy, failure of duty to provide information, failure to supervise, vicarious liability, breach of contract, violations of securities regulatory rules, common law claims, and violations of Maryland Securities Laws. FINRA reports that Steve Brandt’s member firm is liable and ordered to pay to the Claimant compensatory damages in the amount of $43,500 plus interest.
If you lost any money on investments with Steve Brandt, you may be able to recover your losses from The Strategic Financial Alliance, Inc., LPL Financial LLC and/or Cetera Advisors LLC. This is because The Strategic Financial Alliance, Inc., LPL Financial LLC and Cetera Advisors LLC had a duty to supervise Steve Brandt.
If you lost money on investments with Steve Brandt 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 The Strategic Financial Alliance, Inc., LPL Financial LLC and Cetera Advisors LLC concerning Steve Brandt’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.
Our firm has a unique, unparalleled track record. Kalju Nekvasil, Esq., has not lost a securities arbitration case in more than 13 years. Goodman and Nekvasil has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Steve Brandt 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.