Julio Lage – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Julio Lage a/k/a Julio Cesar Lage CRD #4698401 Julio Lage is a previously licensed financial advisor/broker with BLV Securities. According to FINRA, Julio Lage was fined $5,000 and suspended from the securities industry for six months in September 2021. According to FINRA …

Dale Ramsperger – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Dale Ramsperger CRD #1601669 Dale Ramsperger is a licensed financial advisor/broker with DMK Advisor Group. Dale Ramsperger was previously licensed with Securities America Advisors. According to FINRA, Dale Ramsperger was suspended from the securities industry for five months in September 2021. According …

The Noah Corporation Controller Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission charged William “Bill” Bowser, Christopher Ashby, Scott Beynon, and Jordan Nelson with securities fraud for misappropriating investor funds meant for the development and construction of new event centers. The SEC’s complaint alleges that from …

The Legacy Group, Inc. Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   On May 24, 2021, the Securities and Exchange Commission charged Colorado and Florida residents Randy R. King, Matthew B. King, and Andrea S. Trout and three entities they operated, The Legacy Group, Inc., Colorado Ventures I, LLC, and Radiant …

Wellness Matrix Group, Inc. Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission today charged Wellness Matrix Group, Inc., a Nevada microcap company, and George Todt, a Wellness Matrix business consultant who controlled much of Wellness Matrix’s day-to-day activities, with making misrepresentations to investors regarding COVID-19 products …

Apis Capital Management LLC and My Loan Doctor Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission today charged Edgar M. Radjabli of Boca Raton, Florida, and two entities he controlled for engaging in three separate securities frauds of escalating size. The SEC’s complaint alleges that Radjabli, …

Michael Maloney – Customer Disputes Filed Involving Financial Advisor/Broker Mike Maloney | Goodman & Nekvasil P.A. May Recover Investor Losses Michael Maloney a/k/a Michael Patrick Maloney CRD #2371261 Michael Maloney a/k/a Michael Patrick Maloney is a previously licensed financial advisor with First Allied Securities, Inc. Our firm has filed an arbitration claim involving Maloney, relating to the sale of Hospitality …

Primary Capital LLC – Brokerage Firm Censured and Fined by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Primary Capital LLC CRD #127921 According to FINRA Allegations: During the period December 2013 through February 2019, Primary participated in EB-5 offerings without establishing, maintaining and enforcing a supervisory system, including written supervisory procedures (WSPs), reasonably designed to supervise its …

Andes Capital Group – Brokerage Firm Censured and Fined by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Andes Capital Group LLC CRD #139212 According to FINRA Allegations: Between August and September 2018, Andes failed to supervise and record on its books and records approximately $1.5 million in private securities transactions by one of its registered representatives. This …

David Van Geffen – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses David Van Geffen CRD #1890754 David Van Geffen is a licensed financial advisor/broker with Ameriprise Financial. David Van Geffen was previously licensed with Raymond James. According to FINRA, David Van Geffen was fined $5,000 and suspended from the securities industry for …