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 …

Jerry Raines – Financial Advisor/Broker Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Jerry Raines a/k/a Jerry Davis Raines CRD #4578689 -Update 9/29/21- Goodman & Nekvasil, P.A. has learned that Jerry Raines may have sold PetroRock investments. If you were a client of Jerry Raines, please contact us. Jerry Raines a/k/a Jerry Davis Raines is a …

Alan New – Financial Advisor/Broker Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Alan New a/k/a Alan Harold New CRD #2892508 -Update 9/29/21- Goodman & Nekvasil, P.A. has learned that Alan New may have sold PetroRock investments. If you were a client of Alan New a/k/a Alan Harold New, please contact us. Alan New a/k/a Alan …

Maria Calcena – Customer Disputes Filed Involving Financial Advisor/Broker | Goodman & Nekvasil P.A. May Recover Investor Losses Maria Calcena a/k/a Maria Florencia Calcena CRD #6348974 Maria Calcena is a licensed financial advisor with Infinex Investmens, Inc. Maria Calcena was previously licensed with Ocean Financial Services LLC. According to Maria Calcena’s BrokerCheck Report, a customer dispute has been filed alleging …

Yoko Farias – Customer Dispute Allegedly Filed Involving Financial Advisor/Broker | Goodman & Nekvasil P.A. May Recover Investor Losses Yoko Farias CRD #3180126 Yoko Farias is a licensed financial advisor with Bankoh Investment Services, Inc. The securities fraud lawyers at Goodman & Nekvasil, P.A. are currently investigating claims against Bankoh Investment Services, Inc. (“Bankoh”), and financial advisor, Yoko K. Farias …

Linda Fang – Customer Disputes Filed Involving Financial Advisor/Broker | Goodman & Nekvasil P.A. May Recover Investor Losses Linda Fang a/k/a Ching-Yun Linda Fang CRD #1843163 Linda Fang is a previously licensed financial advisor/broker with Cetera Investment Services LLC. According to Linda Fang’s BrokerCheck Report two customer disputes have been filed: Customer Dispute 5/5/21:  Claimants allege unsuitable investment recommendations. This …

Steve Berrocal – Customer Disputes Filed Involving Financial Advisor/Broker Steve Berrocal | Goodman & Nekvasil P.A. May Recover Investor Losses Steve Berrocal a/k/a Stephen Berrocal CRD #3071400 Steve Berrocal is a licensed financial advisor with Truist Advisory Services, Inc. According Steve Berrocal’s BrokerCheck Report 3 customer disputes have been filed: Customer Dispute 5/21/21:  Claimant alleges that investment was unsuitable. This …