Chris Carpenter Is Barred from Selling Securities | Goodman & Nekvasil P.A. May Recover Investor Losses Chris Carpenter a/k/a Christopher John Carpenter (CRD#: 6601132) Is Barred From Selling Securities. Chris Carpenter consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA. The findings stated that this matter originated from …
Bill King Has Multiple Customer Complaints | May Recover Investor Losses
Bill King Has Multiple Customer Complaints | Goodman & Nekvasil P.A., May Recover Investor Losses Bill King has multiple customer complaints. According to FINRA: WILLIAM WORTHEN KING (CRD 1432593) a/k/a Bill King, Merrill Lynch broker, has multiple customer complaints. The customers allege that the Financial Advisor was not acting in their best interest when he enrolled his brokerage account into a …
The SEC barred Dave Nicolas and Daniel Mackle for selling investments in Silver Edge Financial | May Recover Investor Losses
The SEC barred Dave Nicolas and Daniel Mackle for selling investments in Silver Edge Financial| Goodman & Nekvasil, P.A. May Recover Investor Losses The SEC barred Dave Nicolas from the securities industry and ordered him to pay a $70,000 fine. Daniel Mackle was also barred and ordered to disgorge $2.2 million and pay a $975,000 penalty jointly with Silver Edge Financial. …
Vincent Camarda and James McArthur sold Par Funding Promissory Notes | May Recover Investor Losses
Vincent Camarda and James McArthur sold Par Funding Promissory Notes | Goodman & Nekvasil P.A., May Recover Investor Losses Vincent Camarda and James McArthur sold Par Funding Promissory Notes. The SEC claims investment advisers Vincent J. Camarda, and James McArthur violated the federal securities laws. The defendants solicited investors and offered or sold promissory notes to investors in connection with …
Sean Sullivan Has Been Fired From Aegis Capital Corp | May Recover Investor Losses
Sean Sullivan Fired From Aegis Capital Corp | Goodman & Nekvasil P.A., May Recover Investor Losses Sean Sullivan has been fired by Aegis Capital Corp and has multiple customer complaints. Sean Sullivan’s Termination is based on the following: 7/08/22 – Aegis Capital Corp fired Sean Sullivan based on multiple allegations of unauthorized trading. Sean Sullivan has Multiple FINRA Customer Complaints …
Caz Craffy Is Barred by FINRA | May Recover Investor Losses
Caz Craffy Is Barred by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Caz Craffy Barred According to FINRA: CARZ LEVINSKY CRAFFEY (CRD 5222223) a/k/a Caz Craffy consented to the sanction and to the entry of findings that he refused to produce information and documents and refused to appear for on-the-record testimony requested by FINRA during the course …
Michael Todd Discharged From Centaurus Financial, Inc | May Recover Investor Losses
Michael Todd Discharged From Centaurus Financial, Inc | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Todd Discharged from Centaurus Financial, Inc. Michael Todd, aka, JOSEPH MICHAEL TODD (CRD #1830390) has been terminated by Centaurus Financial, Inc. Todd’s employment was terminated based on the following allegations: 7/21/22 – According to FINRA, Centaurus Financial, Inc is investigating whether the Registered …
SEC Obtains Final Judgment Against Ross Barish | May Recover Investor Losses
SEC Obtains Final Judgment Against Ross Barish | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC: The SEC obtains final judgment against Ross Barish on August 10, 2022. The SEC complaint alleged that, from 2014 through July 2019, Barish recommended to customers a pattern of high cost, in-and-out trading without any reasonable basis to believe that …
Financial Advisor/Broker David Geake has Customer Complaints – | May Recover Investor Losses
Financial Advisor/Broker David Geake has Customer Complaints – | Goodman & Nekvasil P.A., May Recover Investor Losses David Geake a/k/a David Richard Geake CRD # 3088891 Financial advisor/broker David Geake is a licensed broker with American Trust Investment Services, Inc. (CRD # 3001) According to FINRA’s BrokerCheck Report, David Geake had 15 customer complaints filed alleging unsuitable Investments, Breach of …
GK Investment Holdings, LLC Warns Bond Investors | May Recover Investor Losses
GK Investment Holdings, LLC Warns Bond Investors | Goodman & Nekvasil P.A. May Recover Investor Losses GK Investment Holdings, LLC Warns Bond Investors of Possible Default Under Trust Indenture if Agreement to Extend Maturity Date is Not Reached with 90% of Bondholders. Excerpt from April 28, 2022, letter to investors: “Pursuant to that certain Offering Memorandum and Consent Solicitation Statement …