Tye Williams – Tye Calvin Williams, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Tye Williams, CRD #1271046
Tye Williams was previously licensed with Next Financial Group, Inc. in Texas. FINRA reports that Tye Williams was barred from the securities and investment banking industry in 2016.
ACCORDING TO FINRA: Tye Williams consented to the sanctions and to the entry of findings that Tye Williams failed to produce documents and information after being repeatedly requested to do by FINRA. The findings stated that the documents and information requested by FINRA are related to an investigation regarding a customer complaint alleging that Tye Williams converted over $1,000,000 from customers’ accounts, made unsuitable investment recommendations, and engaged in unauthorized transactions and mismanaged assets.
According to Tye Williams’ CRD, a customer dispute was filed alleging that during the period of mid 2004 until 2015, Tye Williams mismanaged customers finances by exceeding the scope of Tye Williams’ authority and recommended unsuitable investments in ventures likes “Smashburger”. According to Tye Williams’ CRD, this customer dispute settled for $1,500,000.
If you lost any money on investments with Tye Williams, you may be able to recover your losses. If you lost money on investments with Tye 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 Tye 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 Tye 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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