Piers Cornelius Has An Investor Complaint  – Goodman & Nekvasil, P.A. May Recover Investor Losses J.P. MORGAN SECURITIES LLC investment adviser, Piers Cornelius has an investor complaint. Piers Cornelius PIERS ALEXANDER CORNELIUS CRD#: 4212172 PIERS ALEXANDER CORNELIUS (CRD#: 4212172), a registered representative for J.P. MORGAN SECURITIES LLC in San Francisco, CA, has an investor complaint.  According to Cornelius’ FINRA BrokerCheck report, Client …

Mitchell Pindus Has An Investor Complaint  – Goodman & Nekvasil, P.A. May Recover Investor Losses WELLS FARGO ADVISORS investment adviser, Mitchell Pindus has an investor complaint. MITCHELL ROSS PINDUS MITCHELL R PINDUS CRD#: 1268550 MITCHELL ROSS PINDUS (CRD#: 1268550), a registered representative for WELLS FARGO CLEARING SERVICES, LLC in Los Angeles, CA, has an investor complaint.  According to Pindus’ FINRA …

Carlos Guzman Has An Investor Complaint  – Goodman & Nekvasil, P.A. May Recover Investor Losses MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED investment adviser, Carlos Guzman has an investor complaint alleging misappropriation of client funds.  CARLOS A GUZMAN CARLOS ALBERTO GUZMAN CRD#: 6323925 CARLOS ALBERTO GUZMAN (CRD#: 6323925), a registered representative for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED in …

Joel Harworth Has An Investor Complaint  – Goodman & Nekvasil, P.A. May Recover Investor Losses CENTAURUS FINANCIAL, INC. investment adviser, Joel Harworth has an investor complaint. JOEL DANIEL HARWORTH CRD#: 3131373 JOEL DANIEL HARWORTH (CRD#: 3131373), a registered representative for CENTAURUS FINANCIAL, INC. in Covina, CA, has an investor complaint.  According to HARWORTH’s FINRA BrokerCheck report, The customer alleges that the Registered …

Thomas Berger Has An Investor Complaint  – Goodman & Nekvasil, P.A. May Recover Investor Losses MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED investment adviser, Thomas Berger has an investor complaint. THOMAS JOSEPH BERGER THOMAS J BERGER CRD#: 2322375 THOMAS JOSEPH BERGER (CRD#: 2322375), a registered representative for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED in CHARLOTTE, NC, has an investor complaint.  According …

Michael Mauro Has An Investor Complaint  – Goodman & Nekvasil, P.A. May Recover Investor Losses Former J.P. MORGAN SECURITIES LLC broker, Michael Mauro has an investor complaint. Michael A Mauro IV MICHAEL A MAURO, MICHAEL ANGELLO MAURO IV, Michael Mauro CRD#: 5910550 Michael A Mauro IV (CRD#: 5910550), a former registered representative for J.P. MORGAN SECURITIES LLC in WEBSTER, NY, has an …

Elias Letayf Has An Investor Complaint  – Goodman & Nekvasil, P.A. May Recover Investor Losses UBS FINANCIAL SERVICES INC. broker, Elias Letayf has an investor complaint. ELIAS A LETAYF ELIAS AZIZ, ELIAS AZIZ LETAYF CRD#: 4545016 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   ELIAS A LETAYF(CRD#: 4545016), a registered representative for UBS FINANCIAL SERVICES …

Michael Restagno Has Three Investor Complaints  – Goodman & Nekvasil, P.A. May Recover Investor Losses DOMINARI SECURITIES LLC broker, Michael Restagno has three investor complaints.  Two of the FINRA customer complaints have settled and one is pending.   MICHAEL VINCENT RESTAGNO CRD#: 5532695 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   MICHAEL VINCENT RESTAGNO (CRD#: …

Rick Lopez Has An Investor Complaint  – Goodman & Nekvasil, P.A. May Recover Investor Losses ARKADIOS WEALTH ADVISORS investment adviser, RICK LOPEZ has an investor complaint. ENRIQUE LOPEZ RICK LOPEZ CRD#: 2209385 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   ENRIQUE LOPEZ (CRD#: 2209385), a broker for ARKADIOS CAPITAL in McAllen, TX, has an investor …

ROSALINE ALAM Barred by FINRA  – Goodman & Nekvasil, P.A., May Recover Investor Losses Former PRUCO SECURITIES, LLC.  broker, ROSALINE ALAM barred by FINRA ROSALINE ALAM ROSALINE ALRACHID CRD#: 5742202 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   ROSALINE ALAM (CRD#: 5742202), a  formerly registered broker for PRUCO SECURITIES, LLC., in Claremont, CA, consented to a bar …