Thomas Stappas – Financial Advisor/Broker Thomas Stappas Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Thomas Stappas CRD #855198
Thomas Stappas was a formerly licensed financial advisor/broker with Summit Equities, Inc. According to FINRA, Thomas Stappas was barred from the securities industry in September 2019.
According to FINRA: Thomas Stappas consented to the sanction and to the entry of findings that Thomas Stappas failed to provide documents and information requested by FINRA in connection with its investigation into allegations that Thomas Stappas engaged in outside business activities, and recommended private securities transactions to Thomas Stappas’ member firm customers, neither activity was disclosed to his firm.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Thomas Stappas 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 Thomas Stappas’ 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 Thomas Stappas 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.
Thomas Stappas, Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange, Thomas Stappas