Goodman & Nekvasil May Recover Investor Losses – Thomas Jeffrey – Thomas Michael Jeffrey, Financial Advisor Discharged from UBS Financial Services, Inc.
Thomas Michael Jeffrey CRD #1052111
From 2010 until Thomas Jeffrey’s firing in 2013, Thomas Jeffrey was a licensed financial advisor/broker with UBS Financial Services, Inc. Thomas Jeffrey is now a licensed financial advisor/broker with First Financial Equity Corporation and was a previously licensed financial advisor/broker with Raymond James & Associates, Inc. According to FINRA records, Thomas Jeffrey was fired by UBS Financial Services, Inc. on June 18, 2013. UBS Financial Services, Inc. reported to FINRA that Thomas Jeffrey’s resignation was related to UBS Financial Services, Inc. learning that Thomas Jeffrey was involved with a client’s investments in real estate away from UBS Financial Services, Inc. including loans from the client to LLCS controlled by Thomas Jeffrey’s wife.
FINRA reports that an arbitration claim has been filed relating to Thomas Jeffrey’s employment with UBS Financial Services, Inc. alleging that Thomas Jeffrey solicited loans from the client to limited liability companies controlled by Thomas Jeffrey, as part of a selling away violation involving real estate investments. The client further alleges that Thomas Jeffrey wrongfully liquidated her securities. This claim involving Thomas Jeffrey’s conduct with UBS Financial Services, Inc. was settled for $80,000. Thomas Jeffrey paid $10,000 of this settlement.
FINRA also reports one other settlement of an arbitration claim relating to Thomas Jeffrey’s conduct.
If you lost any money on real estate investments or other investments with Thomas Jeffrey, you may be able to recover your losses from UBS Financial Services, Inc., Raymond James & Associates, Inc. and/or First Financial Equity Corporation. This is because UBS Financial Services, Inc., Raymond James & Associates, Inc. and First Financial Equity Corporation had a duty to supervise Thomas Jeffrey.
If you lost money on real estate investments or other investments with Thomas Jeffrey and believe that the real estate or other 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 UBS Financial Services, Inc., Raymond James & Associates, Inc. and/or First Financial Equity Corporation. 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 $300 million on behalf of victimized investors. If you lost money on real estate investments or other investments with Thomas Jeffrey 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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