Tracy Neal Wengert (Tracy Wengert) Financial Advisor Barred by FINRA | Goodman and Nekvasil May Recover Investors Losses

Goodman and Nekvasil May Recover Investors Losses | Tracy Neal Wengert (Tracy Wengert) Financial Advisor Barred by FINRA 

Tracy Wengert was licensed with Transamerica Financial Advisors, Inc. from 2012 to 2015. Tracy Wengert was barred from the securities industry on October 29, 2015. According to FINRA, Wengert was barred resulting from his failure to provide documents FINRA requested in connection with its investigation into allegations he opened brokerage accounts outside his member firm on behalf of firm’s customers and engaged in unsuitable trades in these accounts.

FINRA also reports seven customer disputes against Wengert since May 2003 until February 2017. Of these complaints, six have been settled while one is still pending. The largest reported settlement being $275,000.

Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments.

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. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action.

Goodman & Nekvasil, P.A., has filed hundreds of cases against brokerage firms selling high-risk investments and has recovered more than $180 million dollars on behalf of victimized investors.  We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.  All our cases are handled on a purely contingency fee basis.

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. Finally, the filing of such a case should not affect your ownership of these investments in any way.

If you incurred losses on your investment  with Tracy Wengert 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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