Goodman & Nekvasil P.A., May Recover Investor Losses | Cheryl Stallings, Financial Advisor Cheryl Stallings Barred from Securities Industry  Cheryl Stallings CRD #1162913 Cheryl Stallings was a formerly licensed financial advisor with Kestra Investment Services, LLC and LPL Financial LLC. FINRA reports that Cheryl Stallings was discharged from LPL Financial LLC on July 6, 2017. LPL Financial LLC reported to FINRA …

Robert Todd Clark – Robert Clark, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses  Robert Todd Clark- Robert Clark – was previously licensed with Moors & Cabot, Inc. from 2013 to 2018. FINRA reports that Robert Todd Clark – Robert Clark- was barred from the securities industry in September 2018.  ACCORDING TO FINRA: Robert Todd …

Goodman & Nekvasil P.A., May Recover Investor Losses | Frank Bazan – Financial Advisor Frank Bazan Suspended from Securities Industry  Frank Bazan Financial Advisor CRD #5593113 Frank Bazan was previously licensed with BBVA Securities, Inc. from 2013 to 2016. Frank Bazan consented to the sanctions and to the entry of findings that Frank Bazan failed to disclose that he was involved …

Mario Telfair, Financial Advisor Resigned from Pruco Securities, LLC | Goodman & Nekvasil P.A., May Recover Investor Losses |  From 2015 until Mario Telfair’s resignation in 2017, Mario Telfair was licensed with Pruco Securities, LLC. According to FINRA’s records, Mario Telfair voluntarily resigned from Pruco Securities, LLC. on May 22nd, 2017. Pruco Securities, LLC. reported to FINRA that resigned after Pruco …

Goodman & Nekvasil P.A., May Recover Investor Losses | Stu Godin – Stuart Myles Godin, Customer Disputes Settled Involving Financial Advisor Stu Godin is currently licensed with Western International Securities, Inc. in Los Angeles, California. Stu Godin was previously licensed with Financial West Group and RBC Capital Markets, LLC. According to Stu Godin’s CRD, 5 customer disputes were settled involving Stu …

Matthew Buchsbaum – Arbitration Claims Filed Involving Financial Advisor/Broker Matthew Buchsbaum | Goodman & Nekvasil P.A., May Recover Losses Matthew Buchsbaum CRD #2220565 Matthew Buchsbaum has been a licensed financial advisor/broker with UBS Financial Services, Inc. since 2015. Matthew Buchsbaum was previously licensed with Credit Suisse Securities (USA) LLC. According to Matthew Buchsbaum’s CRD, six customer disputes alleging sales practice …

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 …