Goodman & Nekvasil P.A., May Recover Investor Losses | Sean Brady, Financial Advisor Barred from Securities Industry From 2008 until Sean Brady’s discharge in 2017, Sean Brady was licensed with First Allied Securities, Inc. According to FINRA’s records, Sean Brady was discharged from First Allied Securities, Inc. on October 20, 2017. First Allied Securities, Inc. reported to FINRA that Sean Brady …

Goodman & Nekvasil P.A., May Recover Investor Losses | Stephen Coupe, Financial Advisor Stephen Coupe  Fined by State of Washington Securities Division Stephen Coupe CRD #2061979 From 2008 until Stephen Coupe’s discharge in 2017, Stephen Coupe was licensed with First Allied Securities, Inc. According to FINRA’s records, Stephen Coupe was discharged from First Allied Securities on April 12, 2017. First Allied …

Goodman & Nekvasil P.A., May Recover Investor Losses | Juergen Weber, Financial Advisor Barred from Securities Industry by FINRA  Juergen Weber was previously licensed with Benjamin & Jerold Brokerage I, LLC. FINRA reports that Juergen Weber was barred from the securities industry in September 2018. According to FINRA: Juergen Weber consented to the sanction and to the entry of findings that Juergen …

Goodman & Nekvasil P.A., May Recover Investor Losses | Ricardo Estrada, Financial Advisor Suspended from Securities Industry  Ricardo Estrada was previously licensed with MML Investors Services, LLC from 2014 to 2017. Ricardo Estrada consented to the sanctions and to the entry of findings that Ricardo Estrada engaged in an outside business activity without seeking prior approval from his member firm. ACCORDING …

Goodman & Nekvasil P.A., May Recover Investor Losses | Frank Passarelli – Financial Advisor Frank Passarelli Suspended from Securities Industry  Frank Passarelli CRD #1114420 Frank Passarelli was licensed with Park Avenue Securities LLC from 1999 until Frank Passarelli’s discharge in 2013. Frank Passarelli was then licensed with The O.N. Equity Sales Company from 2013 until Frank Passarelli’s discharge in 2015. FINRA …

Goodman & Nekvasil P.A., May Recover Investor Losses | Dan Pugel – Daniel Edward Pugel, Financial Advisor Resigned from Firm Dan Pugel was a formerly licensed financial advisor with LPL Financial LLC in Seattle, Washington. LPL Financial LLC reported to FINRA that Dan Pugel resigned on March 20, 2017. LPL Financial LLC reported to FINRA that Dan Pugel allegedly violated investment-related …

Michael Bastardi,  Arbitration Claim Filed Against Financial Advisor Michael Bastardi | Goodman & Nekvasil P.A, May Recover Investor Losses  Michael Bastardi CRD #6015424  Michael Bastardi has been previously licensed with Chelsea Financial Services, National Securities Corporation, Securities America, Inc., Cape Securities Inc. and Dalton Strategic Investment Services Inc. An arbitration claim involving Michael Bastardi’s conduct has been filed alleging that from …

Adam K. Veron consented to findings by FINRA that he sold nearly $1.8 million in investments in Contract Funding and Corporate Management, LLC (“CFCM”) without providing written notice to, or obtaining approval from, his broker dealer, Questar Capital Corporation (“Questar”).  FINRA also found that Veron provided false answers regarding his participation in private securities transactions and outside business activities. Veron …

Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk oil and gas related investments, including CORE RESOURCE MANAGEMENT INC. Even though high yield or junk bonds, notes, stock and limited partnership units issued by oil and gas companies …

Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk oil and gas related investments, including MEMORIAL PRODUCTION PARTNERS LP. Even though high yield or junk bonds, notes, stock and limited partnership units issued by oil and gas companies …