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 …
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 …
GWG Holdings Senior Executives Resigned After Internal Review | May Recover Investor Losses
GWG Holdings Senior Executives Resigned After Internal Review | Goodman & Nekvasil P.A. May Recover Investor Losses According to a November 14, 2022 Press Release, two GWG Holdings senior executives resigned after an internal review. The resignations coincided with the amended filing of FORM 8-K/A which now includes exhibits which were incorrectly omitted. The November 14, 2022 resignations of President …
Financial Advisor/Broker Angelo Talebi has Customer Complaints | May Recover Investor Losses
Financial Advisor/Broker Angelo Talebi has Customer Complaints | Goodman & Nekvasil P.A., May Recover Investor Losses Angelo Talebi CRD # 2243829 According to Talebi’s BrokerCheck Report, 38 customer complaints have been filed alleging that the investments purchased in the customer accounts were unsuitable. Financial Advisor/Broker Angelo Talebi Sold GWG Holdings L-Bonds According to FINRA, Angelo Talebi was named a respondent …
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 …
IGF Investment Grade Fund I, LP Investigation | May Recover Investor Losses
IGF Investment Grade Fund I, LP Investigation | Goodman & Nekvasil P.A. May Recover Investor Losses Goodman and Nekvasil is investigating potential claims involving FINRA registered brokerage firms who may have unsuitably recommended alternative investments such as IGF Investment Grade Fund I, LP. According to the most recent SEC Form REG D/A: IGF Investment Grade Fund I, LP failed to …