Patt Stansberry – Financial Advisor/Broker Patt Stansberry Previously Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Patt Stansberry a/k/a Robert Patton Stansberry CRD #712525 Patt Stansberry a/k/a Robert Patton Stansberry was a previously licensed financial advisor with Cutter & Company, Wells Fargo, and Stifel, Nicolaus & Company. According to FINRA, Patt Stansberry was fined $10,000 …

KS Cartel LLC Charged with Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission charged Texas residents Christian Kranenberg and Sebastian Silea, and their company KS Cartel, with defrauding dozens of investors out of $1.1 million through a fraudulent and unregistered securities offering. The SEC’s complaint alleges that Kranenberg …

Southeast Lot Acquisitions LLC Controller Charged with Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC: The Securities and Exchange Commission today charged Florida-based real estate developer James M. Rudnick with fraud in connection with the sale of promissory notes of two entities he controlled. The Commission’s complaint alleges that between 2013 and 2018, Rudnick, …

Bounty of the Ocean and Ocean Harvest LLC Founder Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC: The Securities and Exchange Commission today filed settled charges against Verley Lee “Rocky” Sembritzky, Jr., the promoter of a purported Kenyan desalination plant investment who defrauded American investors out of millions of dollars. According to …

Christ Baltas – Financial Advisor/Broker Christ Baltas Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Christ Elias Baltas (Christ Baltas) CRD #2570499 Christ Baltas was a previously licensed financial advisor with Worden Capital Management LLC. According to FINRA, Christ Baltas was barred in September 2020. According to FINRA: Baltas consented to the sanction and to the …

Neil Buono – Financial Advisor/Broker Neil Buono Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Neil James Buono (Neil Buono) CRD #6768349 Neil James Buno was a previously licensed financial advisor with Taylor Capital Management, Inc. and Pruco Securities LLC. According to FINRA, Neil Buono was barred in September 2020. According to FINRA: Buono consented to …

Cygnus Capital Management 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 Cygnus Capital Management, LLC and the Estate of Richard Ventrilla, Cygnus’s former owner, for defrauding at least 22 investors who invested a total of nearly $1 million. According to the SEC’s …

ZipRemit and Lendaily, Inc. Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission today charged two Arizona-based financial service companies and their chief executive officer with defrauding investors of approximately $2.9 million by making false and misleading statements about the companies’ revenue and its business prospects. The …

Goulden Boy LLC Fund Adviser Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission today announced settled charges against Alexander S. Gould of Menlo Park, California, for misappropriating funds from a private venture capital fund that he advised. The SEC’s order found that in 2018, Gould, a …

Alpha Trade Analytics CEO Charged by SEC with Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission announced today it charged Steven Fitzgerald Brown with fraud arising from his operation of investment pool Alpha Trade Analytics, Inc. The SEC’s complaint, filed on September 3, alleges that Brown, the CEO, …