George Shadie, Financial Advisor George Shadie Discharged from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses George Shadie, CRD #2513286 George Shadie was formerly licensed with NYLife Securities LLC. According to George Shadie’s CRD, George Shadie was discharged from NYLife Securities LLC in February 2019. According to George Shadie’s CRD, George Shadie was terminated after the company’s review …
Ashley Woodard – Five Customer Disputes Filed Against Financial Advisor
Ashley Woodard – Five Customer Disputes Filed Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses Ashley Woodard CRD #4703144 Ashley Woodard has been licensed with NYLife Securities LLC in South Carolina since 2017. Ashley Woodard was previously licensed with IFS Securities and Voya Financial Advisors, Inc. According to Ashley Woodard’s CRD, five customer disputes have been filed …
Cubby Bice – Two Customer Disputes Pending Against Financial Advisor
Cubby Bice – Two Customer Disputes Pending Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses Cubby Bice, Christopher Bice CRD #3222439 Cubby Bice has been licensed with Sagepoint Financial, Inc. in North Carolina since 2005. According to Cubby Bice’s CRD, two customer disputes have been filed alleging sales practice violations against Cubby Bice. According to Cubby Bice’s …
Katherine Nishnic – Three Customer Disputes Pending Against Financial Advisor
Katherine Nishnic – Three Customer Disputes Pending Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses Katherine Nishnic CRD #2499553 Katherine Nishnic has been licensed with Centaurus Financial, Inc. in South Carolina since 2015. Katherine Nishnic was previously licensed with J.P. Turner & Company, LLC. According to Katherine Nishnic’s CRD, two customer disputes have been filed alleging sales …
Gary Hammond, Financial Advisor Gary Hammond Discharged from Firm
Gary Hammond, Financial Advisor Gary Hammond Discharged from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses Gary Hammond a/k/a Gary Wayne Hammond CRD #2660432 Gary Hammond was previously licensed with Hornor, Townsend & Kent, Inc., MML Investors Services, LLC and MSI Financial Services, Inc. According to Gary Hammond’s CRD, Gary Hammond was discharged from MML Investors Services, LLC …
Brett Bacon, Arbitration Claim Filed Against Financial Advisor
Brett Bacon, Arbitration Claim Filed Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Brett Bacon, Brett Michael Bacon CRD #6080375 Brett Bacon is currently licensed with CFD Investments, Inc. Brett Bacon was previously licensed with Waddell & Reed. According to Brett Bacon’s CRD, an arbitration claim was filed alleging misrepresentations, omissions, breach of fiduciary duty, fraud, …
Bruce Slater, Three Arbitration Claims Settled Involving Financial Advisor Bruce Slater
Bruce Slater, Three Arbitration Claims Settled Involving Financial Advisor Bruce Slater | Goodman & Nekvasil P.A., May Recover Investor Losses Bruce Slater a/k/a Bruce Albert Slater CRD #1547792 Bruce Slater is currently licensed with Sagepoint Financial, Inc. Bruce Slater was previously licensed with Transamerica Financial Advisors, Inc. According to Bruce Slater’s CRD, three arbitration claims were filed alleging unsuitability and/or …
Becky Woo, Financial Advisor Becky Woo Barred by FINRA
Becky Woo, Financial Advisor Becky Woo Barred by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Becky Woo CRD #4022781 Becky Woo was previously licensed with Citigroup Global Markets, Inc. According to Becky Woo’s CRD, Becky Woo was barred from the securities industry by FINRA in July 2017. According to FINRA, Becky Woo allegedly failed to respond to …
Eric Shanks – Arbitration Claim Filed Against Financial Advisor Eric Shanks
Eric Shanks – Arbitration Claim Filed Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses Eric Shanks, Eric Olin Shanks CRD #2724083 Eric Shanks was previously licensed with Cuso Financial Services, L.P. According to Eric Shanks’s CRD, an arbitration claim was filed alleging Eric Shanks solicited client to purchase unapproved investments away from the firm through a third …
Aaron Brodt, Three Customer Disputes Settled Involving Financial Advisor Aaron Brodt
Aaron Brodt, Three Customer Disputes Settled Involving Financial Advisor Aaron Brodt | Goodman & Nekvasil P.A., May Recover Investor Losses Aaron Brodt, Aaron Paul Brodt CRD #5017914 Aaron Brodt was previously licensed with Peachcap Securities, Inc. and Accelerated Capital Group. According to Aaron Brodt’s CRD, three customer disputes have been filed alleging sales practice violations against Aaron Brodt. According to …