NANCY HERNANDEZ-GUZMAN Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses CUSO FINANCIAL SERVICES, L.P. Investment Adviser, Nancy Hernandez-Guzman has an investor complaint. NANCY M. HERNANDEZ-GUZMAN NANCY HERNANDEZ CRD#: 5769715 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   NANCY M. HERNANDEZ-GUZMAN (CRD#: 5769715), a registered broker for CUSO FINANCIAL SERVICES, L.P. …

FINRA Barred David Morris – Goodman & Nekvasil, P.A. May Recover Losses FINRA barred David Morris. DAVID JEFFREY MORRIS CRD#: 2522277 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   DAVID JEFFREY MORRIS (CRD#: 2522277), a previously registered broker for STIFEL, NICOLAUS & COMPANY, INCORPORATED, in Chicago, IL, is barred from the securities industry. FINRA’s findings …

FINRA Suspends Rajen “Nick” Duggal – Goodman & Nekvasil, P.A. May Recover Losses FINRA suspends Rajen “Nick” Duggal. RAJEN DUGGAL CRD#: 6505933 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   RAJEN DUGGAL (CRD#: 6505933), a previously registered broker for PAULSON INVESTMENT COMPANY LLC, in San Francisco, CA, is suspended from the securities industry. FINRA’s findings …

Ryan Shoop Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses WESTMINSTER FINANCIAL SECURITIES, INC. Investment Adviser, Ryan Shoop has an investor complaint. RYAN ELLIOT SHOOP CRD#: 4522151 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   RYAN ELLIOT SHOOP (CRD#: 4522151), a registered broker for WESTMINSTER FINANCIAL SECURITIES, INC. in Westlake, …

FINRA Suspends Lincoln Mason – Goodman & Nekvasil, P.A. May Recover Losses FINRA suspends Lincoln Mason. Lincoln Lucas Mason CRD#: 7057393 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   Lincoln Lucas Mason (CRD#: 7057393), a previously registered broker for Edward Jones, in Arnolds Park, IA, is suspended from the securities industry. FINRA’s findings allege that …

John Saunders Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses UBS FINANCIAL SERVICES INC. Investment Adviser, John Saunders has an investor complaint. JOHN HOWARD SAUNDERS CRD#: 870131 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   JOHN HOWARD SAUNDERS (CRD#: 870131), a registered broker for UBS FINANCIAL SERVICES INC. in ROANOKE, …

John Dewitt Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses AUSDAL FINANCIAL PARTNERS, INC. Investment Adviser, John Dewitt has an investor complaint. JOHN ROBERT DEWITT JOHN R DEWITT CRD#: 1999161 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   JOHN ROBERT DEWITT (CRD#: 1999161), a registered broker for AUSDAL FINANCIAL PARTNERS, …

FINRA Suspends Tory Duggins – Goodman & Nekvasil, P.A. May Recover Losses FINRA suspends Tory Duggins. TORY A DUGGINS CRD#: 4556340 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   TORY A DUGGINS (CRD#: 4556340), a previously registered broker for SPARTAN CAPITAL SECURITIES, LLC, in New York, NY, is suspended from the securities industry. FINRA’s findings …

Alex Kline Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses CAMBRIDGE INVESTMENT RESEARCH, INC. Investment Adviser, Alex Kline has an investor complaint. ALEXANDER PATRICK KLINE CRD#: 1271785 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   ALEXANDER PATRICK KLINE (CRD#: 1271785), a registered broker for CAMBRIDGE INVESTMENT RESEARCH, INC. in PITTSBURGH, …

Jake Jacobs Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Investment Adviser, Jake Jacobs has an investor complaint. John EDWIN Jacobs III JAKE JACOBS, JOHN EDWIN JACOBS CRD#: 1405497 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   John EDWIN Jacobs III (CRD#: 1405497), …