Andrew Pravlik – Customer Disputes Filed Involving Financial Advisor/Broker Andrew Pravlik | Goodman & Nekvasil P.A., May Recover Investor Loss Andrew Pravlik a/k/a Andrew James Pravlik CRD #2360456 Andrew Pravlik a/k/a Andrew James Pravlik is a licensed financial advisor with Coastal Equities, Inc. Andrew Pravlik was previously licensed with Prospera Financial Services, Inc. Prospera discharged Pravlik for violation of firm …
John Quinn – Financial Advisor/Broker Suspended from Securities Industry | Recover Investor Losses
John Quinn – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses John Quinn a/k/a John Daniel Quinn CRD # 2576416 John Quinn a/k/a John Daniel Quinn was a licensed financial advisor with Valic Financial Advisors, Inc. and LPL Financial LLC. John Quinn was discharged from Valic Financial Advisors, Inc. in January, 2021. According …
Fusion Hotel Management LLC – Owner Charged with Securities Fraud | Recover Investment Losses
Fusion Hotel Management LLC – Owner Charged with Securities Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses According to the Department of Justice: An indictment unsealed today charges San Diego resident Denny Bhakta with securities fraud and money laundering for running an investment fraud scheme that took in at least $28 million from investors since 2016. According to …
Adam Maggio – Financial Advisor/Broker Suspended from Securities Industry | Recover Investment Losses
Adam Maggio – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Adam Maggio CRD #4177365 Adam Maggio is a licensed financial advisor with VCS Venture Securities and Joseph Stone Capital LLC. According to FINRA: Maggio consented to the sanctions and to the entry of findings that he failed to reasonably supervise trading in …
Randy Taber – Financial Advisor/Broker Suspended from Securities Industry | Recover Investment Losses
Randy Taber – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Randy Taber a/k/a Randyl Robert Taber CRD #1399854 Randy Taber a/k/a Randyl Robert Taber is a licensed financial advisor with Union Capital Company. Randy Taber was previously licensed with Benchmark Investments. According to FINRA, Without admitting or denying the findings, Taber consented …
Devin Wicker – Financial Advisor/Broker Barred by FINRA | Recover Investment Losses
Devin Wicker – Financial Advisor/Broker Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Devin Wicker a/k/a Devin Lamarr Wicker CRD #4228250 Devin Wicker is a previously licensed financial advisor with J.V.B. Financial Group, LLC. According to Devin Wicker’s BrokerCheck Report, Devin Wicker was barred from the securities industry in December 2021. According to FINRA: Wicker was …
Daniel Pimental – Customer Dispute Filed Involving Financial Advisor/Broker | Recover Investment Losses
Daniel Pimental – Customer Dispute Filed Involving Financial Advisor/Broker | Goodman & Nekvasil P.A. May Recover Investor Losses Daniel Pimental a/k/a Daniel Lawrence Pimental CRD #2196343 Daniel Pimental is a previously licensed financial advisor with Wells Fargo Advisors According to Daniel Pimental’s Brokercheck report, a customer dispute has been filed alleging sales practice violations involving Daniel Pimental. Customer Dispute 1/14/20: …
Gaetano Ciambriello – Financial Advisor/Broker Barred by FINRA | Recover Investment Losses
Gaetano Ciambriello – Financial Advisor/Broker Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Gaetano Ciambriello a/k/a Gaetano Salvatore Ciambriello CRD #6948879 Gaetano Ciambriello is a previously licensed financial advisor with Citigroup Global Markets Inc. According to Gaetano Ciambriello’s BrokerCheck Report, Gaetano Ciambriello was barred from the securities industry in December 2021. According to FINRA: Ciambriello consented …
Ian James – Financial Advisor/Broker Suspended from Securities Industry | Recover Investment Losses
Ian James – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Ian James a/k/a Ian Eugene James CRD #2602300 Ian James a/k/a Ian Eugene James is a licensed financial advisor with International Assets Advisory. Ian James was previously licensed with Investacorp. According to FINRA, Ian James was fined $10,000 and suspended from the …
Sequential Brands Group, Inc. – SEC Obtains Final Judgment | Recover Investment Losses
Sequential Brands Group, Inc. – SEC Obtains Final Judgment | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC: The Securities and Exchange Commission today announced that Sequential Brands Group, Inc., agreed to the entry of a final judgment permanently enjoining Sequential from future violations of the antifraud provision of Section 17(a)(3) of the Securities Act of …