Ronald Bailey – Financial Advisor/Broker Suspended by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Ronald Bailey a/k/a Ronald Coy Bailey CRD #6270312 is a previously licensed financial advisor with NYLIFE SECURITIES LLC (CRD#:5167). According to Ronald Bailey’s BrokerCheck Report, Robert Bailey was suspended by FINRA for 12 months on September 9, 2022. According to FINRA: Ronald Bailey …
Financial Advisor/Broker David Geake has Customer Complaints – | May Recover Investor Losses
Financial Advisor/Broker David Geake has Customer Complaints – | Goodman & Nekvasil P.A., May Recover Investor Losses David Geake a/k/a David Richard Geake CRD # 3088891 Financial advisor/broker David Geake is a licensed broker with American Trust Investment Services, Inc. (CRD # 3001) According to FINRA’s BrokerCheck Report, David Geake had 15 customer complaints filed alleging unsuitable Investments, Breach of …
SEC Charges Western International Securities, Inc. with selling GWG Holdings L-Bonds| May Recover Investor Losses
SEC Charges Western International Securities, Inc. with selling GWG Holdings L-Bonds| Goodman & Nekvasil P.A. May Recover Investor Losses SEC Charges Western International Securities and Five Registered Representatives: The U.S. Securities and Exchange Commission charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – …
Financial Advisor/Broker Angelo Talebi has Customer Complaints | May Recover Investor Losses
Financial Advisor/Broker Angelo Talebi has Customer Complaints | Goodman & Nekvasil P.A., May Recover Investor Losses Angelo Talebi CRD # 2243829 According to Talebi’s BrokerCheck Report, 38 customer complaints have been filed alleging that the investments purchased in the customer accounts were unsuitable. Financial Advisor/Broker Angelo Talebi Sold GWG Holdings L-Bonds According to FINRA, Angelo Talebi was named a respondent …
GK Investment Holdings Warns Bond Investors | May Recover Investor Losses
GK Investment Holdings Warns Bond Investors | Goodman & Nekvasil P.A. May Recover Investor Losses Bond Investors are Warned of Possible Default of GK Investment Holdings Read the Excerpt from April 28, 2022, letter to investors in GKIH: If we are unable to achieve an extension of the maturity date, we will be forced to liquidate GKIH’s properties as-is. If …
Financial Advisor/Broker John Orlando has Customer Complaints | May Recover Investor Losses
Financial Advisor/Broker John Orlando has Customer Complaints | Goodman & Nekvasil P.A., May Recover Investor Loss According to Orlando’s BrokerCheck Report, six customer complaints have been filed alleging that the investments purchased in the customer accounts were unsuitable. John Orlando a/k/a John Anthony Orlando CRD # 2002197 Financial Advisor/Broker John Orlando Has A Pending FINRA Complaint According to FINRA, John …
Scott Hananel Suspended – Broker/Financial Advisor | May Recover Investor Losses
Scott Hananel Suspended – Broker/Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses According to FINRA: From July 2014 through December 2018, Hananel’s short term trading in the firm accounts of six customers was excessive and unsuitable given the customers’ investment profiles. The short-term trading generated significant losses and trading costs in the form of commissions, markups, and …
Eric Nicolassy Suspended – Broker/Financial Advisor | May Recover Investor Losses
Eric Nicolassy Suspended – Broker/Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Eric Nicolassy Suspended by FINRA for Alleged Excessive and Unsuitable Trading Eric Nicolassy a/k/a Eric Edward Nicolassy CRD#: 6244539 Eric Nicolassy was a licensed broker with Woodstock Financial Group, Inc. (CRD#:38095). According to FINRA: Between August 2018 and July 2019, while associated with Woodstock Financial …
Arkady Ginsburg Suspended – Broker/Financial Advisor | May Recover Investor Losses
Arkady Ginsburg Suspended – Broker/Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Arkady Ginsburg Suspended by FINRA for Alleged Excessive and Unsuitable Trading According to FINRA: Arkady Ginsburg engaged in excessive and unsuitable trading in the accounts of three of his customers at Aegis Capital Corp. Two of the customer accounts were heavily margined, generated high cost-to-equity …
David McDonnell is Barred | Financial Advisor/Broker Barred | May Recover Losses
David McDonnell is Barred | Financial Advisor/Broker Barred by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses According to the Financial Industry Regulatory Authority (FINRA), David McDonnell is barred from working in the securities industry. David McDonnell a/k/a David Robert McDonnell a/k/a Dave McDonnell – CRD 1757401 David McDonnell consented to the sanction and to the entry of findings …