Michael Matos, Financial Advisor Michael Matos Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Matos CRD #6460694 Key Points: Michael Matos Barred from Securities Industry by FINRA Michael Matos Formerly Licensed with J.P. Morgan Securities LLC Michael Matos was been previously licensed with J.P. Morgan Securities LLC. According to FINRA, Michael Matos was barred …
Laura Shean, Financial Advisor Laura Shean Barred from Securities Industry
Laura Shean, Financial Advisor Laura Shean Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Laura Shean, Laura Ortega Provost CRD #2628756 Key Points: Laura Shean Barred from Securities Industry by FINRA Laura Shean Formerly Licensed with LPL Financial LLC Laura Shean was licensed with LPL Financial LLC from 1999 to 2017. According to FINRA, Laura …
Ricky Mantei – Arbitration Claim Filed Against Financial Advisor Ricky Mantei | Recover Investment Losses
Ricky Mantei – Arbitration Claim Filed Against Financial Advisor/Broker Ricky Mantei | Goodman & Nekvasil, P.A. May Recover Investor Losses Ricky Mantei CRD #1098981 Ricky Mantei has been licensed with Centaurus Financial, Inc. since 2015. Ricky Mantei was previously licensed with J.P. Turner & Company, LLC. According to Ricky Mantei’s CRD, Ricky Mantei has five pending complaints and/or arbitration claims …
David Antypas, Complaint Filed Involving Financial Advisor/Broker David Antypas
David Antypas, Complaint Filed Involving Financial Advisor/Broker David Antypas | Goodman & Nekvasil P.A., May Recover Investor Losses David Antypas CRD #2603488 David Antypas has been licensed with LPL Financial LLC from 2008 to 2017. According to David Antypas’ CRD, David Antypas was barred from the securities industry in April 2019. According to David Antypas’ CRD: The Tennessee Securities Division alleges …
David Strnad, Financial Advisor David Strnad Investigated by FINRA
David Strnad, Financial Advisor David Strnad Investigated by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses David Strnad CRD #1982721 David Strnad was previously licensed with Wells Fargo and Morgan Stanley. According to David Strnad’s CRD, on November 6, 2018, FINRA made a preliminary determination to recommend that disciplinary action be brought against David Strnad alleging a violation …
William Schnepp, Financial Advisor William Schnepp Discharged from Firm
William Schnepp, Financial Advisor William Schnepp Discharged from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses William Schnepp, CRD #1854941 William Schnepp was formerly licensed with LPL Financial LLC and MML Investors Services, LLC. According to William Schnepp’s CRD, William Schnepp was discharged from LPL Financial LLC in March 2018. According to William Schnepp’s CRD, William Schnepp allegedly …
Brendan Shaw, Two Arbitration Claims Pending Against Financial Advisor
Brendan Shaw, Two Arbitration Claims Pending Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses Brendan Shaw, Brendan Patrick Shaw CRD #4721215 Brendan Shaw was formerly licensed with Purshe Kaplan Sterling Investments. According to Brendan Shaw’s CRD, two arbitration claims alleging sales practice violations against Brendan Shaw are currently pending. These two arbitration claims allege fraudulent and excessive …
Instaprin Pharmaceuticals, Inc. – SEC Files Complaint
Instaprin Pharmaceuticals, Inc. – SEC Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses ACCORDING TO THE SEC: This matter involves a fraudulent investment scheme orchestrated by Defendant Donald Milne, a convicted felon and securities fraud recidivist, by and through his company Instaprin (formerly SPI Acquisition Corp. (“SPI”)) (also “the company”), a purported pharmaceutical company that Milne claimed …
Michael Mackay – Complaint Filed Against Financial Advisor
Michael Mackay – Complaint Filed Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses Michael Mackay CRD #2279775 Michael Mackay is currently licensed with Transamerica Financial Advisors, Inc. in Cincinnati. According to Michael Mackay’s CRD, a complaint was filed with the complainant alleging that Michael Mackay was provided a check in the amount of $300,000 for a real …
Steve Rosh, Financial Advisor Suspended from Securities Industry
Steve Rosh, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Steve Rosh CRD #2962763 Steve Rosh was a formerly licensed financial advisor with Transamerica Financial Advisors, Inc. FINRA reports that Steve Rosh was suspended from the securities industry in November 2014. According to FINRA: Steve Rosh consented to the sanctions and to the …