Jermaine Benjamin Barred from Selling Securities | Goodman & Nekvasil P.A. May Recover Investor Losses Jermaine Benjamin a/k/a Jermaine K Benjamin (CRD#: 6152653) Barred from Selling Securities. Goodman & Nekvasil, P.A. is investigating Jermaine Benjamin, formerly with Pruco Securities, LLC. Benjamin consented to the sanction and to the entry of findings that he refused to provide documents and information requested …
Complaint Filed Against DUNCAN MACEACHERN | May Recover Investor Losses
Complaint Filed Against DUNCAN MACEACHERN | Goodman & Nekvasil P.A. May Recover Investor Losses DUNCAN MACEACHERN a/k/a DUNCAN GERARD MACEACHERN (CRD#: 1856591) has a complaint filed against Centaurus Financial, Inc. Goodman & Nekvasil, P.A. is reviewing claims made by a former client of Duncan Gerard MacEachern, formerly with Centaurus Financial and now with LPL Financial. MacEachern was a registered representative …
Chris Carpenter Barred from Selling Securities | May Recover Investor Losses
Chris Carpenter Is Barred from Selling Securities | Goodman & Nekvasil P.A. May Recover Investor Losses Chris Carpenter a/k/a Christopher John Carpenter (CRD#: 6601132) Is Barred From Selling Securities. Chris Carpenter consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA. The findings stated that this matter originated from …
MICHAEL RAINERI Is Barred from Selling Securities | May Recover Investor Losses
MICHAEL RAINERI Is Barred from Selling Securities | Goodman & Nekvasil P.A. May Recover Investor Losses MICHAEL RAINERI a/k/a MICHAEL PATRICK RAINERI (CRD#: 4817558) Is Barred From Selling Securities. Michael Raineri consented to the sanction and to the entry of findings that he converted customer funds. The findings stated that, at the request of one of his customers, Raineri began paying …
SEC Files Complaint against Sean Michael Kane and Kevin John Kane | May Recover Investor Losses
SEC Files Complaint against Sean Michael Kane and Kevin John Kane | Goodman & Nekvasil P.A. May Recover Investor Losses SEC Files Complaint against Sean Michael Kane and Kevin John Kane | Goodman & Nekvasil P.A. May Recover Investor Losses SEC files complaint against Sean Michael Kane and Kevin John Kane. The suit accuses Kevin John Kane and Sean Michael Kane …
Sorrento Therapeutics Files For Chapter 11 Bankruptcy | May Recover Investor Losses
Sorrento Therapeutics Files for Chapter 11 Bankruptcy | Goodman & Nekvasil P.A., May Recover Investor Losses Sorrento Therapeutics Files for Chapter 11 Bankruptcy Sorrento Therapeutics Inc., filed for bankruptcy on February 13, 2023, after reportedly being hit with judgments totaling more than $173 million, according to the Wall Street Journal. The problem with pharmaceutical and biotech investments is that they typically …
Bill King Has Multiple Customer Complaints | May Recover Investor Losses
Bill King Has Multiple Customer Complaints | Goodman & Nekvasil P.A., May Recover Investor Losses Bill King has multiple customer complaints. According to FINRA: WILLIAM WORTHEN KING (CRD 1432593) a/k/a Bill King, Merrill Lynch broker, has multiple customer complaints. The customers allege that the Financial Advisor was not acting in their best interest when he enrolled his brokerage account into a …
The SEC barred Dave Nicolas and Daniel Mackle for selling investments in Silver Edge Financial | May Recover Investor Losses
The SEC barred Dave Nicolas and Daniel Mackle for selling investments in Silver Edge Financial| Goodman & Nekvasil, P.A. May Recover Investor Losses The SEC barred Dave Nicolas from the securities industry and ordered him to pay a $70,000 fine. Daniel Mackle was also barred and ordered to disgorge $2.2 million and pay a $975,000 penalty jointly with Silver Edge Financial. …
SEC alleges Material Misleading Representations by DF Growth REIT II, LLC – May Recover Investor Losses
SEC alleges Material Misleading Representations by DF Growth REIT II, LLC – Goodman & Nekvasil, P.A., May Recover Investor Losses SEC alleges Material Misleading Representations by DF Growth REIT II, LLC in a March 16, 2022 administrative proceeding. According to the SEC, “A reasonable REIT II investor would consider it important to know if their investment’s success or failure was …
Sean Sullivan Has Been Fired From Aegis Capital Corp | May Recover Investor Losses
Sean Sullivan Fired From Aegis Capital Corp | Goodman & Nekvasil P.A., May Recover Investor Losses Sean Sullivan has been fired by Aegis Capital Corp and has multiple customer complaints. Sean Sullivan’s Termination is based on the following: 7/08/22 – Aegis Capital Corp fired Sean Sullivan based on multiple allegations of unauthorized trading. Sean Sullivan has Multiple FINRA Customer Complaints …