Thomas Swan Has Multiple Investor Complaints – Goodman & Nekvasil, P.A., May Recover Investor Losses Western International Securities Broker, Thomas Swan has multiple investor complaints. Thomas Brian Swan CRD#: 1698430 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   Thomas Brian Swan (CRD#: 1698430), a registered broker for Western International Securities, in Westlake Village, CA,  has …

David Glaze  – Charged with PETIT THEFT – Goodman & Nekvasil, P.A., May Recover Investor Losses RAYMOND JAMES & ASSOCIATES, INC. Broker, David Glaze is Charged with PETIT THEFT. DAVID EDWIN GLAZE DAVE EDWIN GLAZE CRD#: 5001233 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   DAVID EDWIN GLAZE (CRD#: 5001233), a  registered broker for RAYMOND JAMES & …

Jonathan Mayer – Has a Customer Complaint A customer filed a complaint against Jonathan Mayer Jonathan Arthur Mayer CRD#: 6878627 Call 800-500-4442 if you loaned money to Jonathan Arthur Mayer. Jonathan Arthur Mayer (CRD#: 6878627), a formerly registered broker for PROFOR ADVISORS, in Rye Brook, NY,  is being suspended from the securities industry.  Mayer submitted a Letter of Acceptance, Waiver, and Consent …

Helen Grace Caldwell – Barred by FINRA and Charged in Federal Court FINRA barred Helen Grace Caldwell HELEN GRACE CALDWELL HELEN GRACE CORPUZ CRD#: 1957501 Call 800-500-4442 if you invested in Caldwell’s Film Production Company, Canal Productions, LLC. HELEN GRACE CALDWELL (CRD#: 1957501), a formerly registered broker for WELLS FARGO CLEARING SERVICES, LLC, in Chicago, IL, has been barred from the securities …

GPB NYC Development, LP  – Goodman & Nekvasil, P.A., May Recover Investor Losses GPB NYC Development, LP Judge honors SEC’s request to place GPB Capital Holdings, LLC (“GPB Capital”) and affiliated entities into receivership.  The SEC press release gives more detail and has a link to the SEC complaint. Goodman & Nekvasil is representing investors who purchased GPB NYC Development, …

Armada Waste Management, LP  – Goodman & Nekvasil, P.A., May Recover Investor Losses Armada Waste Management, LP Judge honors SEC’s request to place GPB Capital Holdings, LLC (“GPB Capital”) and affiliated entities into receivership.  The SEC press release gives more detail and has a link to the SEC complaint. Goodman & Nekvasil is representing investors who purchased Armada Waste Management, …

GPB Waste Management LP   – Goodman & Nekvasil, P.A., May Recover Investor Losses GPB Waste Management LP Judge honors SEC’s request to place GPB Capital Holdings, LLC (“GPB Capital”) and affiliated entities into receivership.  The SEC press release gives more detail and has a link to the SEC complaint. Goodman & Nekvasil is representing investors who purchased GPB Waste …

Jack Fisher – 25 Years in Prison for Promoting “abusive” Syndicated Conservation Easements DOJ announces sentencing for Jack Fisher. Jack Fisher – Sentenced to 25 years in prison. Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser involving a syndicated conservation easement.   Jack Fisher, a certified public accountant, was sentenced to 25 years in …

Charles Castro – Investigated by FINRA FINRA investigates Charles Castro CHARLES CHRISTOPHER CASTRO CRD#: 5556780 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   CHARLES CHRISTOPHER CASTRO (CRD#: 5556780), a registered broker for DAVID LERNER ASSOCIATES, INC., in White Plains, NY, was investigated by FINRA. On November 27, 2023, FINRA made a preliminary determination to recommend …

Michael MacLean – Suspended by FINRA FINRA suspended Michael MacLean Michael MacLean MICHAEL J MACLEAN CRD#: 5457640 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   MICHAEL J MACLEAN (CRD#: 5457640), a registered broker for GROVE POINT INVESTMENTS, LLC, in Worcester, MA, was suspended by FINRA. MacLean consented to the sanctions and to the entry of …