Les Miles Terminated After FIRST HEARTLAND CAPITAL, INC Allegations  – Goodman & Nekvasil, P.A., May Recover Losses Les Miles terminated after FIRST HEARTLAND CAPITAL, INC allegations. LESLIE RAY MILES LES MILES CRD#: 5157562 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   LESLIE RAY MILES (CRD#: 5157562), a VANDERBILT SECURITIES, LLC broker in Woodbury, …

KEN MARING Has An Investor Complaint  – Goodman & Nekvasil, P.A. May Recover Investor Losses CONCURRENT INVESTMENT ADVISORS, LLC investment adviser, KEN MARING has a pending investor complaint. KENNETH ALLEN MARING KEN MARING, Kenneth Maring CRD#: 1500005 KENNETH ALLEN MARING (CRD#: 1500005), a former registered representative for MORGAN STANLEY in SAN RAFAEL, CA has a pending investor complaint.  According to …

Dan Silverberg Has An Investor Complaint  – Goodman & Nekvasil, P.A. May Recover Investor Losses UBS FINANCIAL SERVICES INC. investment adviser, Dan Silverberg has a pending investor complaint. DANIEL BART SILVERBERG DAN SILVERBERG, DANIEL SILVERBERG, DANNY SILVERBERG CRD#: 1576956 DANIEL BART SILVERBERG (CRD#: 1576956), a registered representative for UBS FINANCIAL SERVICES INC. in PHILADELPHIA, PA has a pending investor complaint.  According to Silverberg’s …

Velocis Fund III, LP Investigation | Goodman & Nekvasil, P.A. Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   Velocis Fund III, LP and the Risks of Private Placements According to the SEC, RBC CAPITAL MARKETS, LLC is a recipient of sales compensation for Velocis Fund III, LP.    A customer of a RBC …

Shawn Patt Has A Settled Investor Complaint  – Goodman & Nekvasil, P.A. May Recover Investor Losses Former RBC CAPITAL MARKETS, LLC broker, Shawn Patt has a settled investor complaint involving the sale of Velocis III Fund SHAWN SHYAMA PATT CRD#: 4484268 SHAWN SHYAMA PATT (CRD#: 4484268), a former registered representative for RBC CAPITAL MARKETS, LLC in BEVERLY HILLS, CA has a settled …

Paul McGonigle Guilty of  Investment Adviser Fraud – Goodman & Nekvasil, P.A., May Recover Investor Losses Former LPL FINANCIAL LLC investment adviser, Paul McGonigle Guilty of Investment Adviser Fraud. McGonigle stole at least $1.4 million from the accounts of at least fifteen clients, including those who were elderly or in poor physical and mental health, according to court documents. PAUL …

MOE AZIZI Has An Investor Complaint  – Goodman & Nekvasil, P.A. May Recover Investor Losses CENTAURUS FINANCIAL, INC. investment adviser, Moe Azizi has an investor complaint. MARCO BARTOLO AZIZI MOE AZIZI CRD#: 2154719 MARCO BARTOLO AZIZI (CRD#: 2154719), a registered representative for CENTAURUS FINANCIAL, INC. in SAN JOSE, CA has a pending investor complaint.  According to Azizi’s FINRA BrokerCheck report, The customer …

Scott Thole Has An Investor Complaint  – Goodman & Nekvasil, P.A. May Recover Investor Losses MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED investment adviser, Scott Thole has an investor complaint. SCOTT GERALD THOLE CRD#: 4516390 SCOTT GERALD THOLE (CRD#: 4516390), a registered representative for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED in SAINT PAUL, MN has an investor complaint.  According …

Steve Moise Has An Investor Complaint  – Goodman & Nekvasil, P.A. May Recover Investor Losses Former JOSEPH STONE CAPITAL L.L.C. broker, Steve Moise has an investor complaint. STEVE ALLEN MOISE STEVE ALLEN, STEVE ALAN MOISE CRD#: 4995443 STEVE ALLEN MOISE (CRD#: 4995443), a former registered representative for JOSEPH STONE CAPITAL L.L.C. in MINEOLA, NY has an investor complaint.  According to Moise’s FINRA …