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 …
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 …
Financial Advisor/Broker John Orlando has Customer Complaints | May Recover Investor Losses
Financial Advisor/Broker John Orlando has Customer Complaints | Goodman & Nekvasil P.A., May Recover Investor Loss According to Orlando’s BrokerCheck Report, six customer complaints have been filed alleging that the investments purchased in the customer accounts were unsuitable. John Orlando a/k/a John Anthony Orlando CRD # 2002197 Financial Advisor/Broker John Orlando Has A Pending FINRA Complaint According to FINRA, John …
Scott Hananel Suspended – Broker/Financial Advisor | May Recover Investor Losses
Scott Hananel Suspended – Broker/Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses According to FINRA: From July 2014 through December 2018, Hananel’s short term trading in the firm accounts of six customers was excessive and unsuitable given the customers’ investment profiles. The short-term trading generated significant losses and trading costs in the form of commissions, markups, and …
Eric Nicolassy Suspended – Broker/Financial Advisor | May Recover Investor Losses
Eric Nicolassy Suspended – Broker/Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Eric Nicolassy Suspended by FINRA for Alleged Excessive and Unsuitable Trading Eric Nicolassy a/k/a Eric Edward Nicolassy CRD#: 6244539 Eric Nicolassy was a licensed broker with Woodstock Financial Group, Inc. (CRD#:38095). According to FINRA: Between August 2018 and July 2019, while associated with Woodstock Financial …
David McDonnell is Barred | Financial Advisor/Broker Barred | May Recover Losses
David McDonnell is Barred | Financial Advisor/Broker Barred by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses According to the Financial Industry Regulatory Authority (FINRA), David McDonnell is barred from working in the securities industry. David McDonnell a/k/a David Robert McDonnell a/k/a Dave McDonnell – CRD 1757401 David McDonnell consented to the sanction and to the entry of findings …