Thomas Howard Caniford (Tom Caniford) Financial Advisor/Broker Tom Caniford Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Tom Howard Caniford (Tom Caniford) CRD #1049021 Tom Caniford was a previously licensed financial advisor/broker with LPL Financial LLC. Tom Caniford was barred from the securities industry by the SEC in March, 2017. According to the SEC: On …

David Scott Sweat (David Sweat) – Customer Disputes Filed Involving Financial Advisor/Broker David Sweat | Goodman & Nekvasil P.A. May Recover Investor Losses David Scott Sweat (David Sweat) CRD #5502379 David Sweat was a formerly licensed financial advisor/broker with Kalos Capital, Inc. According to David Sweat’s BrokerCheck report, two customer disputes has been filed alleging sales practice violations against David …

Omar K. Henry (Omar Henry) – Broker, Financial Advisor Omar Henry Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Omar K. Henry (Omar Henry) CRD #5751648 Omar Henry was a previously licensed financial advisor with Cetera Advisors LLC and JP Morgan Securities LLC. According to Omar Henry’s BrokerCheck report, Omar Henry was barred from the …

Daniel Vazquez (Dan Vazquez) Financial Advisor/Broker Dan Vazquez Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Daniel Vazquez aka Dan Vasquez (Dan Vazquez) CRD #3141463 Dan Vazquez was a previously licensed financial advisor with Cetera Advisors LLC. Dan Vazquez was barred from the securities industry in June 2016. According to FINRA, Dan Vazquez failed to …

Gary Ryan Fletcher (Ryan Fletcher) Financial Advisor/Broker Ryan Fletcher Guilty of Fleeing and Alluding | Goodman & Nekvasil, P.A. May Recover Investor Losses Gary Ryan Fletcher (Ryan Fletcher) CRD #5452492 Ryan Fletcher was a previously licensed financial advisor with International Assets Advisory, LLC, Cetera Advisors LLC and Edward Jones. Ryan Fletcher pled guilty to fleeing and alluding in July 2018. …

Christopher Robert Hickman (Christopher Hickman) – Financial Advisor/Broker Christopher Hickman Previously Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Christopher Robert Hickman (Christopher Hickman) CRD #3267599 Richard Crockett was a previously registered financial advisor with Cetera Advisors LLC. According to FINRA, Richard Crockett was fined $5,000 and suspended from the securities industry for five months in …

Christopher Kozak – Broker, Financial Advisor Christopher Kozak Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Christopher Kozak CRD #5530806 Christopher Kozak was a formerly licensed financial advisor with Cetera Advisors LLC. According to FINRA Allegations: Christopher Kozak consented to the sanctions and to the entry of findings that Christopher Kozak engaged in an undisclosed …

George Craig Merhoff (George Merhoff) – Arbitration Claim Filed Involving Financial Advisor, Broker George Merhoff | Goodman & Nekvasil P.A., May Recover Investor Losses  George Craig Merhoff (George Merhoff) Financial Advisor, Broker CRD #2918171 Since 2012, George Merhoff worked for Cetera Advisors LLC. FINRA reports that the Oregon Department Consumer and Business Services, Division of Financial Regulation (“DFR”) brought an enforcement …

Roger Lee Owens (Roger Owens) – Arbitration Claims Filed Involving Financial Advisor, Broker Roger Owens | Goodman & Nekvasil P.A. Files Arbitration Claims on Woodbridge Mortgage Investment Fund  Roger Lee Owens (Roger Owens) CRD #2359204 Goodman & Nekvasil, P.A. has filed arbitration claims against Cetera Advisors LLC seeking to recover monies lost by an investor in the fraudulent, Woodbridge Mortgage Investment Fund. Roger …

Kristian L. Finfrock (Kristian Finfrock) – Customer Dispute Filed Involving Financial Advisor, Broker Kristian Finfrock | Goodman & Nekvasil P.A. May Recover Investor Losses  Kristian L. Finfrock (Kristian Finfrock) CRD #5421676 Kristian Finfrock is a currently licensed financial advisor/broker with Kalos Capital, Inc.  According to Kristian Finfrock’s BrokerCheck Report, a customer dispute has been filed alleging sales practice violations against …