Sune Gaulsh – Financial Advisor/Broker Sune Gaulsh Suspended from the Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Sune Gaulsh CRD #5797295
Sune Gaulsh was a previously licensed financial advisor/broker with Barclays Capital, Inc. FINRA reports that Sune Gaulsh was fined $10,000 and suspended from the securities industry for nine months in May 2020.
According to FINRA Allegations:
Sune Gaulsh consented to the sanctions and to the entry of findings that he sent, or attempted to send, to himself at a personal email address, confidential and proprietary documents and information belonging to his member firm without authorization. The findings stated that the documents included documents that were related to computer code, third party vendor data and indices data, the unauthorized dissemination that could have exposed the firm to legal liability and had other negative consequences. The firm detected Sune Gaulsh’s transmissions, required him to demonstrate that he had deleted the files at issue, and told him to refrain from such conduct. Notwithstanding this directive, Sune Gaulsh attempted to send himself additional confidential and propriety firm documents in separate emails. During these attempts, Sune Gaulsh took steps to conceal from the firm’s electronic filters the nature of the documents by placing them in zip archives and changing the archive file extensions in an effort to conceal the number and nature of the files being attached. The firm’s automated email filter system detected and blocked all of the emails before they left the firm.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Sune Gaulsh 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 Sune Gaulsh’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 Sune Gaulsh 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.
Some of the information in this blog post was obtained on 5/12/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
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