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 …

Jeff Salazar – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Jeff Salazar a/k/a Joffre Salazar CRD #2185914 Jeff Salazar a/k/a Joffre Salazar is a previously licensed financial advisor with American Portfolios Financial and LPL Financial LLC. According to FINRA, Jeff Salazar was fined $5,000 and suspended from the securities industry for one …

LNA Associates Ltd. Owner Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission charged Gregory Altieri, of Melville, New York, for operating a fraudulent Ponzi-like scheme that defrauded current and retired police officers and firefighters, among others, and misappropriating investor funds. According to the SEC’s complaint, from …

Greenlight Advantage Group Controller Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission today charged an unregistered investment adviser, who allegedly concealed his criminal past, with defrauding his clients through the offer and sale of investments in a fictitious investment fund, and misappropriating a large portion of …

Small World Capital – Alabama Securities Commission Alleges Ponzi Scheme| Goodman & Nekvasil P.A. May Recover Investor Losses An Arkansas retiree has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against LPL Financial for losses he suffered because of the unsuitable recommendation of Rhett Douglas Bedwell, one of the broker-dealer’s former registered representatives. Bedwell, who is no longer a …

Graysail Capital Vice President Barred by FINRA | Goodman & Nekvasil P.A. May Recover Investor Losses FINRA barred former LPL Financial broker and Graysail Capital Vice President Rhett Douglas Bedwell while investigating allegations he used forged documentation to invest a customer’s money in a Ponzi scheme. According to AWC #2020067764001, a customer in 2020 filed a complaint against former LPL representative …

Rhett Bedwell – Financial Advisor/Broker Rhett Bedwell Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Rhett Bedwell a/k/a Rhett Douglas Bedwell CRD #5664392 Rhett Bedwell a/k/a Rhett Douglas Bedwell was a previously licensed financial advisor with LPL Financial LLC and Arvest Wealth Management. According to FINRA, Rhett Bedwell was barred by FINRA in March 2021. According …

John Buckingham – Customer Disputes Filed Involving Financial Advisor/Broker | Goodman & Nekvasil P.A. May Recover Investor Losses John Buckingham a/k/a John William Buckingham CRD #2793693 John Buckingham a/k/a John William Buckingham is a previously licensed financial advisor with Forta Financial Group, Inc. Customer Dispute 7/29/20:  Allegations include unsuitability, Fraud, breach of fiduciary duty, negligence, and failure to supervise between …