Goodman & Nekvasil P.A, May Recover Investor Losses – Anthony Mark Farnsworth (Anthony Farnsworth) Previously Suspended from Securities Industry and Permitted to Resign from PFS Investments Inc.  From 2003 until Anthony Farnsworth’s resignation in 2013, Anthony Farnsworth was licensed with PFS Investments Inc. According to FINRA records, Anthony Farnsworth was permitted to resign on February 13, 2013. PFS Investments Inc. reported …

Ascenergy LLC, Joey Gabaldon, PYCKL LLC and Alanah Energy, LLC – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Ascenergy LLC, Joey Gabaldon, PYCKL LLC and Alanah Energy, LLC The Securities and Exchange Commission announced that it has obtained a final judgment against Ascenergy LLC, Joseph Gabaldon, and Alanah Energy, LLC. The SEC’s complaint alleges that, since …

Goodman & Nekvasil P.A. May Recover Investor Losses | DMS Funds, DMS Advisors Charged by the SEC Securities and Exchange Commission Charges DMS Funds, DMS Advisors According to the SEC, DMS Advisors is a Pennsylvania corporation with its principal place of business in Leesport, Pennsylvania. According to the SEC, Peter R. Kohli (“Kohli”) is the president and CEO of DMS Advisors. …

Goodman & Nekvasil P.A., May Recover Investor Losses | James Kujawski Financial Advisor Suspended from Securities Industry  James Kujawski is a licensed financial advisor with Ameriprise Financial Services, Inc. James Kujawski was previously licensed with UBS Financial Services, Inc. FINRA reports that James Kujawski was discharged from UBS Financial Services, Inc. on February 20, 2018. UBS Financial Services, Inc. reported to …

Goodman & Nekvasil P.A. May Recover Investor Losses | Gemini Fund Services, LLC  Securities and Exchange Commission Orders Cease and Desist According to the SEC, on January 22, 2018, the Commission instituted and simultaneously settled cease-and-desist proceedings (the “Order”) against Gemini Fund Services, LLC (“Gemini”), the fund administrator for a Massachusetts¬≠ based investment company called the GL Beyond Income Fund (the …

Goodman & Nekvasil P.A., May Recover Investor Losses | Edward Earl Matthes – Edward Matthes, Financial Advisor Barred from Securities Industry  Edward Matthes was licensed with Mutual of Omaha Investor Services, Inc. from 2012 to 2019. FINRA reports that Edward Matthes was barred from the securities industry in March 2019. ACCORDING TO FINRA: Edward Matthes consented to the sanction and to …

Michael James Keane – Michael Keane, Arbitration Claim Filed Involving Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses  Michael Keane was previously licensed with UBS Financial Services, Inc. According to FINRA BrokerCheck, 5 customer disputes involving Michael Keane’s conduct have been settled. According to BrokerCheck, allegations included that Michael Keane purchased unsuitable energy stocks and Master Limited Partnerships …

Goodman & Nekvasil P.A., May Recover Investor Losses | Charles Friedlander, Customer Dispute Settled Involving Financial Advisor Charles Friedlander CRD #1766198 Charles Friedlander was formerly licensed with Merrill Lynch in Garden City, New York. According to Charles Friedlander’s CRD, a customer dispute was settled involving Charles Friedlander’s conduct. According to Charles Friedlander’s CRD, the customers alleged unsuitable investment recommendations from 2014 …

Cindy Chiellini – 14 Customer Disputes Filed Alleging Sales Practice Violations Against Cindy Chiellini  | Goodman & Nekvasil, P.A. May Recover Investor Losses Cindy Chiellini CRD #1015592 Cindy Chiellini has been licensed with Centaurus Financial, Inc. since 2015. According to Cindy Chiellini’s CRD, Cindy Chiellini has 12 pending customer disputes relating to Cindy Chiellini’s conduct with J.P. Turner & Co. and/or …

FINRA’s Board of Governors recently approved a rule proposal that prohibits firms and their representatives from conditioning dispute settlements on customer agreements regarding expungement of the customer complaints from the brokers’ FINRA records. Previously, arbitration settlements could include conditions requiring customers to agree not to oppose an industry party’s request for expungement of the industry party’s FINRA records relating to …