Steven Roffman, Financial Advisor Steven Roffman Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Steven Roffman CRD #1673527
Steven Roffman is a currently licensed financial advisor with IFS Securities. Steven Roffman was previously licensed with Ameriprise Financial Services, Inc. and Raymond James & Associates, Inc. According to Steven Roffman’s CRD, Steven Roffman was suspended from the securities industry in June 2019 and fined $7,500.
According to Steve Roffman’s CRD, Steve Roffman was discharged from Ameriprise Financial Services, Inc. in March 2016. According to Steve Roffman’s CRD, Steve Roffman was terminated by the firm on March 22, 2016 for alleged company policy violations relating to unauthorized use of discretion, solicitation of inverse and leveraged securities, and mismarking trade tickets as unsolicited.
According to FINRA:
In September 2015, Steven Roffman executed two unauthorized transactions in one customer’s account in violation of F1NRA Rule 2010. In addition, during the period June 2015 to November 2015, Steven Roffman mismarked 21 order tickets in the accounts of six customers as unsolicited, when, in fact, the trades were solicited. Accordingly, Steven Roffman violated FINRA Rules 4511(a) and 2010.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Steven Roffman 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 Steven Roffman’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 Steven Roffman 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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