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 …
Marc Reda – Financial Advisor/Broker has Customer Complaints and is Barred by FINRA | May Recover Investor Losses
Marc Reda – Financial Advisor/Broker has Customer Complaints and is Barred by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Marc Reda a/k/a Marc Augustus Reda CRD # 2757330 According to the Financial Industry Regulatory Authority (FINRA), Broker Marc A. Reda is barred from working in the securities industry. According to a FINRA complaint filed on June 15, 2021, …
Chadwick Collins – Financial Advisor/Broker Has Customer Complaints | May Recover Losses
Chadwick Collins – Customer Complaints/Disputes Filed Involving Financial Advisor/Broker Chadwick Collins | Goodman & Nekvasil P.A., May Recover Investor Losses Chadwick Collins a/k/a Chadwick C Collins CRD#: 2597677 Chadwick Collins is a licensed financial advisor/broker with Wedbush Securities, Inc CRD#: 877 Collins is a securities broker registered in California and Arizona. According to Collins’s BrokerCheck Report, five customer complaints/disputes have …