Willard Golightly – Financial Advisor Willard Golightly Barred by FINRA

Willard Golightly – Financial Advisor Willard Golightly Barred by FINRA | Goodman and Nekvasil May Recover Investors Losses 

Willard Golightly aka Bill Golightly #4395250

FINRA reports that Willard Golightly a/k/a Bill Golightly, was barred indefinitely from any principal capacity.  FINRA reports that Bill Golightly consented to the sanctions and to the entry of findings that he failed to appropriately supervise the sales practices of a registered representative who engaged in unsuitable trading in the brokerage and advisory accounts of his customers.

According to the investigation, Bill Golightly failed to observe and/or adequately respond to one of his subordinate’s extensive and unsuitable trading activity that resulted in an 80% concentration level in a low-priced, illiquid and/or highly speculative private placement and REIT investment, regardless of the client’s investment objectives and levels of risk tolerance.

FINRA also reports that 8 arbitration claims were filed involving Bill Golightly’s conduct with WFG Investments and/or Securities America, Inc., one of these arbitration claims settled for $1,054,000.

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.  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 with Bill Golightly 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. 

Willard Golightly, Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange, Willard Golightly

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