The Financial Regulatory Authority has barred former LPL financial adviser broker Philip Nalesnik after Nalesnik failed to provide testimony in a hearing involving his alleged business misconduct.
Broker’s Background
Nalesnik worked in the securities industry since 2002. According to FINRA’s BrokerCheck website, Nalesnik started his career at IDS Life Insurance Company. Prior to working for LPL in 2008, Nalesnik spent three years with CCO Investment Services Corps.
Nalesnik has been the subject of at least 5 customer complaints during his career. LPL financial advisor Nalesnik was fired in July 2018 after determining that the broker had violated company policy and participated in an outside business activity. When asked about these activities, Nalesnik failed to respond in a timely manner to the firm’s inquiries.
Although Nalesnik neither admitted nor denied the findings, FINRA has barred Nalesnik from acting as a broker or otherwise associating with a broker-dealer.
Speak with an Investment Fraud Attorney
Our AV-rated* securities fraud lawyers have extensive experience litigating a broad range of investment disputes. We will aggressively pursue claims against the culpable brokerage firm or stockbroker to recover your investment losses.
If you are looking for an investment fraud attorney to review your rights and options, the investment fraud lawyers at Dimond Kaplan & Rothstein, P.A. have a proven track record of getting results for clients. We’ve recovered more than $100 million in assets lost to investment fraud and stockbroker misconduct.
Contact Dimond Kaplan & Rothstein Today
Contact an investment fraud attorney at Dimond Kaplan & Rothstein, P.A. to schedule an appointment for a FREE case evaluation.
Our offices are located in Los Angeles, New York, Detroit, West Palm Beach, Naples and Miami, and we represent clients nationwide. Translations services are available.
