Valence Williams Suspended After FINRA Allegations – May Recover Investor Losses

Valence Williams Suspended After FINRA Allegations – Goodman & Nekvasil, P.A., May Recover Investor Losses

Previously Registered Broker, Valence Williams suspended after FINRA allegations.

VALENCE MONTGOMERY WILLIAMS
VALENCE M WILLIAMS
CRD#: 1389729

Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.  

VALENCE M WILLIAMS (CRD#: 1389729), a former broker for J.H. DARBIE & CO., INC., in New York, NY, was suspended by FINRA.

Williams consented to the sanctions and to the entry of findings that he exercised discretionary authority to effect trades in customer accounts without obtaining written authorization from the customers to exercise discretion and without his member firm having accepted the accounts as discretionary. The findings stated that Williams also marked at least some of the trades as unsolicited, causing his firm to maintain inaccurate books and records.

VALENCE MONTGOMERY WILLIAMSVALENCE M WILLIAMS
CRD#: 1389729

VALENCE M WILLIAMS Suspended by FINRA

Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to its clients. 

St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors.  The  firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.

Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 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.

There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.

If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.

Some of the information in this blog post was obtained from FINRA on 3/19/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.

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