Roy Alame – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Roy Alame a/k/a Rawad Roy Alame CRD #5376696 Roy Alame a/k/a Rawad Roy Alame is a previously licensed financial advisor with Merrill Lynch. According to Alame’s BrokerCheck Report, Alame was suspended from the securities industry for six months in January 2021 and …

Sky Group USA LLC Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission today announced charges against Sky Group USA LLC, a payday loan company based in Miami, and its CEO, Efrain Betancourt, Jr., for fraudulently raising at least $66 million through the sale of promissory notes to …

Platinum Travel and Entertainment, LLC Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission filed an action against Gregory A. Ciccone and his entity Platinum Travel and Entertainment, LLC, alleging that the defendants made false statements in raising over $1.5 million from investors in an unregistered offering …

TCFG Investment Advisors Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission charged Laguna Niguel, California-based TCFG Investment Advisors, LLC (TCFG), TCFG’s affiliated broker-dealer TCFG Wealth Management, LLC (TCFG Wealth), and Richard James Roberts – their CEO, president, and managing member – with making materially false and …

Lee Nordstrom – Financial Advisor/Broker Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Lee Nordstrom a/k/a Lee Victor Nordstrom CRD #2248261 Lee Nordstrom is a previously licensed financial advisor with LPL Financial LLC and Vorpahl Wing Securities. According to FINRA: This matter originated from the 2020 cycle examination of Vorpahl Wing Securities. In January 2021, FINRA …

Jeffrey Dampf – Financial Advisor/Broker Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Jeffrey Dampf CRD #5676205 Jeffrey Dampf is a previously licensed financial advisor with PFS Investments Inc. According to FINRA: Dampf consented to the sanction and to the entry of findings that he refused to provide on-the-record testimony or to produce the documents and …

Deborah Herrmann – Financial Advisor/Broker Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Deborah Herrmann a/k/a Debbie Lynn Herrmann CRD #5204514 Deborah Herrmann is a previously licensed financial advisor with Transamerica Financial Advisors, Inc and Farmers Financial Solutions, LLC. According to FINRA: Herrmann consented to the sanction and to the entry of findings that she failed …

PRT consulting LLC d/b/a Petroleum Resources of Texas Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission announced today that it filed charges against securities fraud recidivist and radio show host Mark Plummer, Mike Barrera, and five other individuals and entities, for allegedly conducting an oil and …

Courtney Kaplan – Financial Advisor/Broker Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Courtney Kaplan a/k/a Courtney Michelle Kaplan CRD #5249375 Courtney Kaplan is a previously licensed financial advisor with LPL Financial, Wells Fargo, and Cetera Investment Services. According to FINRA: Kaplan consented to the sanction and to the entry of findings that she refused to …

Barry Snyder – Customer Disputes Filed Involving Financial Advisor/Broker | Goodman & Nekvasil P.A. May Recover Investor Losses Barry Snyder a/k/a Barry Steven Snyder CRD #2385901 Barry Snyder a/k/a Barry Steven Snyder is a previously licensed financial advisor with Snowden Account Services, Lampost Capital and J.P. Morgan Securities LLC. According to Barry Snyder’s BrokerCheck Report, customer disputes have been filed …