Andrew Dougherty – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Andrew Dougherty a/k/a Andrew Robert Dougherty CRD #6348064 Andrew Dougherty a/k/a Andrew Robert Dougherty is a previously licensed financial advisor with Voya Financial Advisors, Inc., and Northwestern Mutual Investment Services. According to FINRA, Andrew Dougherty was fined $5,000 and suspended from the …

Terry Rakis – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Terry Rakis a/k/a Terry Tzagarakis CRD #2796055 Terry Rakis a/k/a Terry Tzagarakis is a previously licensed financial advisor with Spartan Capital Securities, Arive Capital Markets, and Worden Capital Management LLC. According to FINRA, Terry Rakis was fined $10,000 and suspended from the …

Jaime Sanchez Rivera – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Jaime Sanchez Rivera a/k/a Jaime Isaac Sanchez Rivera CRD #6013022 Jaime Sanchez Rivera is a previously licensed financial advisor with First Southern Securities and Herbert J. Sims. According to FINRA, Jaime Sanchez Rivera was fined $10,000 and suspended from the securities …

Jason Poff – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Jason Poff a/k/a Jason Howell Poff CRD #4078570 Jason Poff a/k/a Jason Howell Poff  is a previously licensed financial advisor with Allstate Financial Services LLC and LPL Financial LLC. According to FINRA, Jason Poff was fined $5,000 and suspended from the securities …

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 …