Goodman & Nekvasil P.A., May Recover Investor Losses | Raymond Keith Malicki (Raymond Malicki), Financial Advisor Barred from Securities Industry Raymond Malicki was previously licensed with Oppenheimer & Co. Inc. and Morgan Stanley. FINRA reports that Raymond Malicki was barred from the securities industry on February 19, 2019. FINRA reports that Raymond Malicki consented to the sanction and to the entry …

Goodman & Nekvasil P.A., May Recover Investor Losses | Mark Lamendola – Mark Isidore Lamendola, Financial Advisor Barred from Securities Industry  Mark Lamendola was previously licensed with World Capital Brokerage, Inc. in Cranberry Township, Pennsylvania. FINRA reports that Mark Lamendola was barred from the securities industry in January 2019. ACCORDING TO FINRA:  Mark Lamendola consented to the sanction and to the …

John Gordinier – Customer Dispute Settled Involving Financial Advisor John Gordinier | Goodman & Nekvasil P.A., May Recover Investor Losses John Gordinier Financial Advisor CRD #2363965 John Gordinier is currently licensed with J.J.B. Hilliard, W.L. Lyons, LLC in Louisville, Kentucky. According to John Gordinier’s CRD, a customer dispute was settled involving John Gordinier’s conduct. According to John Gordinier’s CRD, the claimants …

Goodman & Nekvasil P.A., May Recover Investor Losses | Jim Young, Financial Advisor Jim Young Barred from the Securities Industry Jim Young aka James Arthur Young III CRD #4205459 -Investor Update- Jim Young was arraigned in U.S. District Court in Pensacola after a federal grand jury returned an indictment charging Jim Young with two counts of wire fraud and three …

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 …

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 …

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 …