Chris Kubiak – Financial Advisor Chris Kubiak Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Financial Advisor, Chris Kubiak Has Been Barred From The Securities Industry by FINRA Chris Kubiak was Previously Licensed with Freedom Investors Corp. Chris Kubiak CRD #1527367 Chris Kubiak was a formerly licensed financial advisor with Freedom Investors Corp. from 1989 …
LJM Preservation and Growth Fund Share Price Plummets
LJM Preservation and Growth Fund Share Price Plummets | Goodman & Nekvasil, PA May Recover Losses LJM Partners is an investment management firm that operates the mutual fund LJM Capital Preservation and Growth Fund (NASDAQ: LJMIX). The investment, “seeks capital appreciation and capital preservation with low correlation to the broader U.S. equity market. Under normal circumstances, the fund invests primarily in purchased …
Goodman & Nekvasil, P.A. Law Office Announces a $121,659.80 FINRA Arbitration Award Against Wells Fargo Advisors Financial Network, LLC
Victimized Retired Farmer Successfully Alleges That Wells Fargo’s Rochester, Minnesota, Branch Office Recommended High-Risk, Unsuitable Energy Investments Victimized Retired Farmer Successfully Alleges That Wells Fargo’s Rochester, Minnesota, Branch Office Recommended High-Risk, Unsuitable Energy Investments and That His Financial Advisor, Adam T. Marquardt, Misrepresented the Annual Expenses Incurred in Replacing a Variable Annuity MINNEAPOLIS, MN – February 14, 2018 — Goodman …
Finra arbitration panel awards investor $276,000 in Woodbridge Ponzi scheme case
A Financial Industry Regulatory Authority Inc. arbitration panel has awarded $276,226 to an investor who lost money buying securities in what turned out to be a Ponzi scheme. Independent broker-dealer Quest Capital Strategies Inc. must pay the award for not supervising more closely one of its brokers, Frank R. Dietrich, who sold the investor $400,000 worth of mortgage notes sponsored …
$121,745.56 Arbitration Award on Behalf of Victims of the $1.2 Billion Woodbridge Mortgage Investment Fund Ponzi Scheme
Forest Securities, Inc., Loses Second Woodbridge Case to Go to a Final Hearing Milwaukee, Wisconsin, Arbitration Panel Finds That Broker-Dealer Violated the Securities and Exchange Act of 1934 and the Wisconsin Uniform Securities Law by Failing to Reasonably Supervise a Financial Advisor Working From His Home ST. PETERSBURG, Fla., Nov. 21, 2019 (GLOBE NEWSWIRE) — Goodman & Nekvasil, P.A., announces …