Terry Sandvold – Financial Advisor Terry Sandvold Fired by Pruco Securities, LLC | Goodman & Nekvasil P.A., May Recover Investor Losses
Terry Sandvold CRD #1571926
From 1986 until Terry Sandvold’s firing in 2012, Terry Sandvold was licensed with Pruco Securities, LLC. Terry Sandvold is now licensed with Questar Capital Corporation. According to FINRA’s records, Terry Sandvold was fired by Pruco Securities, LLC on January 17, 2012. Pruco Securities, LLC reported to FINRA that Terry Sandvold’s private office wasn’t operated in compliance with Pruco Securities, LLC policy, including: trade instructions involved signature irregularities and were submitted without review by Terry Sandvold; unapproved correspondence and sales materials were used; a non-firm email system was used to communicate with Pruco Securities, LLC clients; customer complaints were not reported; documents were removed from client files by employees prior to supervisory review; an unapproved marketing concept was used; and, there was inadequate management of private office staff. Pruco Securities, LLC also reported to FINRA that these allegations were confirmed.
FINRA also reports that three complaints and/or lawsuits involving Terry Sandvold’s conduct with Pruco Securities, LLC were filed, alleging unsuitable recommendations, alteration of forms, false withdrawals and/or representations with respect to guarantees. These complaints and/or lawsuits all settled, with the largest settling for $71,339.56. Terry Sandvold contributed $35,669.78 to this settlement.
If you lost any money on investments with Terry Sandvold while Terry Sandvold was employed with Pruco Securities, LLC and/or Questar Capital Corporation, you may be able to recover your losses from Pruco Securities, LLC and/or Questar Capital Corporation. This is because Pruco Securities, LLC and Questar Capital Corporation had a duty to supervise Terry Sandvold.
If you lost money on investments with Terry Sandvold, 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 Pruco Securities, LLC and/or Questar Capital Corporation concerning Terry Sandvold’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 $170 million on behalf of victimized investors. If you lost money on investments with Terry Sandvold 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.
Keywords: Terry Craig Sandvold, Terry Sandvold, Sandvold, FINRA, Pruco Securities, Pruco, SEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, Securities