Timothy Plant – Financial Advisor/Broker Timothy Plant Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Timothy Plant is a previously licensed financial advisor with LPL Financial LLC.
According to FINRA, Timothy Plant was suspended from the securities industry for five months in July 2021.
According to FINRA Allegations:
Between October 2017 and January 2019, while associated with LPL, Plant participated in private securities transactions by placing trades in retirement accounts held at another member firm, without providing notice to LPL. Accordingly, Plant violated FINRA Rules 3280 and 2010.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Timothy Plant 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 Timothy Plant’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 $200 million on behalf of victimized investors. If you lost money on investments with Timothy Plant 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.