Jonathan Way Has A Customer Dispute | Goodman & Nekvasil P.A., May Recover Investor Losses Jonathan Walter Way CRD #1126849 Jonathan Way is a previously licensed broker with WEDBUSH SECURITIES INC. According to Way’s BrokerCheck Report, a customer dispute has been filed alleging sales practice violations and making unsuitable recommendations for alternative investments. The claimant is demanding 1 million dollars. …
Allen Hershberg Barred from Selling Securities | May Recover Investor Losses
Allen Hershberg Barred from Selling Securities | Goodman & Nekvasil P.A. May Recover Investor Losses Allen Hershberg a/k/a Allen Israel Hershberg (CRD#: 1112312) Is Barred from Selling Securities Goodman & Nekvasil, P.A. is investigating Allen Hershberg, formerly with Morgan Stanley. Allen Hershberg consented to the sanction and to the entry of findings that he refused to provide documents and information …
Ray Reese – Money Concepts Capital Corp Has Customer Complaints | May Recover Investor Losses
Ray Reese – Money Concepts Capital Corp Has Customer Complaints | Goodman & Nekvasil P.A. May Recover Investor Losses Ray Reese – Money Concepts Capital Corp. has customer complaints for allegedly recommending unsuitable investments. Goodman & Nekvasil, P.A. is investigating Ray Reese, with Money Concepts Capital Corp. Ray Reese a/k/a Ray Gene Reese (CRD#: 1694620) with Money Concepts Capital has …
Jeffrey Cohen is barred from Moloney Securities | May Recover Investor Losses
Jeffrey Cohen is barred from Moloney Securities | Goodman & Nekvasil P.A., May Recover Investor Losses Jeffrey Cohen a/k/a Jeffrey Max Cohen (CRD#: 2528929), Henderson, Nevada is barred from Moloney Securities. Bonney also has nine settled customer complaints which dispute the sales practices of the securities broker who worked for Moloney Securities. Cohen Barred By FINRA For Failure To …
James Viktora Fired From Merrill Lynch | May Recover Investor Losses
James Viktora Fired From Merrill Lynch | Goodman & Nekvasil P.A. May Recover Investor Losses James Viktora aka, JAMES R VIKATOKA (CRD 5284023) Investigation James Viktora was fired by MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and has a pending customer complaint. Viktora was fired based on the following allegations: Viktora’s alleged conduct involved entering into a financial …
Angelo Anello Has Customer Complaints | May Recover Investor Losses
Angelo Anello Has Customer Complaints | Goodman & Nekvasil P.A. May Recover Investor Losses Angelo Anello has customer complaints for allegedly recommending unsuitable investments. Goodman & Nekvasil, P.A. is investigating Angelo Anello, with LPL Financial LLC. Angelo Anello a/k/a Angelo Frank Anello (CRD#: 2835091) with LPL Financial has four customer complaints. Goodman & Nekvasil, P.A. May Recover Investor Losses If …
Chris Carpenter Barred from Selling Securities | May Recover Investor Losses
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. …
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 …