Marc Reda – Financial Advisor/Broker has Customer Complaints and is Barred by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Marc Reda a/k/a Marc Augustus Reda CRD # 2757330 According to the Financial Industry Regulatory Authority (FINRA), Broker Marc A. Reda is barred from working in the securities industry. According to a FINRA complaint filed on June 15, 2021, …
Chadwick Collins – Financial Advisor/Broker Has Customer Complaints | May Recover Losses
Chadwick Collins – Customer Complaints/Disputes Filed Involving Financial Advisor/Broker Chadwick Collins | Goodman & Nekvasil P.A., May Recover Investor Losses Chadwick Collins a/k/a Chadwick C Collins CRD#: 2597677 Chadwick Collins is a licensed financial advisor/broker with Wedbush Securities, Inc CRD#: 877 Collins is a securities broker registered in California and Arizona. According to Collins’s BrokerCheck Report, five customer complaints/disputes have …
Mario Rivero Charged by SEC with Misappropriating Investor Funds | May Recover Investor Losses
Mario Rivero Charged by SEC with Misappropriating Investor Funds| Goodman & Nekvasil P.A. May Recover Investor Losses SEC Charges Mario Rivero: The U.S. Securities and Exchange Commission yesterday charged Mario Rivero, a former New Jersey broker and investment adviser with misappropriating at least $680,000 from his advisory clients and brokerage customers, some of whom were elderly or suffering from memory …
SmartStop Self Storage REIT Suspends Share Redemption Program | May Recover Investor Losses
SmartStop Self Storage REIT Suspends Share Redemption Program | Goodman & Nekvasil P.A. May Recover Investor Losses Goodman and Nekvasil is investigating potential claims involving FINRA registered brokerage firms who may have unsuitably recommended SmartStop Self Storage REIT. According to the recent SEC Form 8-K: According to an 8-K filing with the SEC last week, the board of directors of …
IGF Investment Grade Fund I, LP Investigation | May Recover Investor Losses
IGF Investment Grade Fund I, LP Investigation | Goodman & Nekvasil P.A. May Recover Investor Losses Goodman and Nekvasil is investigating potential claims involving FINRA registered brokerage firms who may have unsuitably recommended alternative investments such as IGF Investment Grade Fund I, LP. According to the most recent SEC Form REG D/A: IGF Investment Grade Fund I, LP failed to …
Donovan Kelly – Broker/Financial Advisor Suspended For Recommending Private Placement Purchases In Oil & Gas Company Promissory Notes | May Recover Investor Losses
Donovan Kelly – Broker/Financial Advisor Suspended for Recommending Private Placement Purchases in Oil & Gas Company Promissory Notes | Goodman & Nekvasil P.A., May Recover Investor Losses Donovan Kelly a/k/a Donovan Thomas Kelly CRD # 2622366 Donovan Kelly a/k/a Donovan Thomas Kelly is a licensed broker with INDEPENDENT FINANCIAL GROUP, LLC., CRD#: 7717 FINRA Suspends Donovan Kelly According to FINRA: …
Bentley Blackmon – Broker/Financial Advisor Suspended | May Recover Losses
Bentley Blackmon – Broker/Financial Advisor Suspended | Goodman & Nekvasil P.A., May Recover Investor Losses Bentley Blackmon a/k/a Bentley Edward Blackmon CRD # 2627221 Bentley Blackmon a/k/a Bentley Edward Blackmon was a licensed broker with STEPHENS (CRD# 3496) until 9/29/2020. Stephens Inc. terminated Bentley Blackmon alleging that Blackmon violated FINRA Rule 3280 and Firm policies as part of his participation …
Joe Degregorio – Financial Advisor/Broker Charged by SEC | May Recover Investor Losses
Joe Degregorio – Financial Advisor/Broker Charged by SEC | Goodman & Nekvasil P.A., May Recover Investor Losses Joe Degregorio – Financial Advisor/Broker Charged by SEC. A recent SEC Complaint alleges that Joseph DeGregorio a/k/a Joe Degregorio, 45, of Freehold, NJ, solicited $1.2 million dollars from four investors, ages 78 to 94. The SEC complaint alleges that the promissory notes Degregorio …
Michael Mandel – Financial Advisor/Broker Suspended from Securities Industry | May Recover Investor Losses
Michael Mandel – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Mandel a/k/a Michael Walter Mandel CRD # 4939165 Michael Mandel a/k/a Michael Walter Mandel was a licensed financial advisor with LPL FINANCIAL LLC. Michael Mandel was discharged from LPL FINANCIAL LLC on January 19, 2022. LPL Allegations: Mandel solicited and introduced …
Andrew Elsoffer – Financial Advisor/Broker Suspended from Securities Industry | May Recover Investor Losses
Andrew Elsoffer – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Andrew Elsoffer a/k/a Andrew Bruce Elsoffer CRD # 2580009 Andrew Elsoffer a/k/a Andrew Bruce Elsoffer was a licensed financial advisor with Stifel, Nicolaus & Company, Incorporated. John Quinn was discharged from Stifel, Nicolaus & Company, Incorporated in October, 2018. Stifel, Nicolaus & …