Thomas Williams, Financial Advisor Thomas Williams Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Thomas Williams aka Thomas Raymond Williams CRD #3176294
Thomas Williams is a currently licensed financial advisor with Ross, Sinclaire & Associates, LLC in Cincinatti, Ohio. According to FINRA, Thomas Williams was fined $10,000 and will be suspended from the securities industry for 10 business days beginning September 3, 2019.
According to FINRA allegations:
Thomas Williams consented to the sanctions and to the entry of findings that Thomas Williams omitted material information from an email communication to a customer regarding the status of funds held in escrow in connection with the customer’s investment in a private placement of notes that Thomas Williams’ member firm had been the placement agent. The findings stated that though Thomas Williams had obtained information from the bank teller that the escrow account had been closed at the financial institution, Thomas Williams omitted that information from the email to the representative of the investor in the notes. Thomas Williams’ failure to disclose all of the information regarding the escrow at the time caused his email communication with the investor to be misleading.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Thomas Williams 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 Williams’ 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 Williams 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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