Jason Seale – Financial Advisor/Broker Jason Seale Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Jason Seale a/k/a Jason Lee Seale CRD #1874548 Jason Seale is a licensed financial advisor with American Wealth Management Inc. According to FINRA, Jason Seale was fined $5,000 and suspended from the securities industry for 15 days in September 2021. …

John Cangialosi – Financial Advisor/Broker John Cangialosi Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses John Cangialosi a/k/a John Sebastion Cangialosi CRD #3273830 John Cangialosi is a licensed financial advisor with SW Financial. Jon Cangialosi was previously licensed with Worden Capital Management. According to FINRA, John Cangialosi was fined $7,500, ordered to pay restitution of …

Alexis Cooke – Financial Advisor/Broker Alexis Cooke Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Alexis Cooke a/k/a Alexis Kinashea Cooke CRD #5598604 Alexis Cooke was a previously licensed financial advisor with Pruco Securities and NYLife Securities. According to FINRA, Alexis Cooke was barred in August 2021. According to FINRA: Cooke consented to the sanction and …

Carter Bain Wealth Management and RAM Fund LP Ordered to Stop Alleged Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission today announced the filing of an emergency action against Martin A. Ruiz of New York, New York, and two entities he controls, Carter Bain Wealth Management, LLC (Carter …

Jenna Kang – Financial Advisor/Broker Jenna Kang Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Jenna Kang CRD #6334679 Jenna Kang was a previously licensed financial advisor with AXA Advisors LLC. According to FINRA, Jenna Kang was barred in October 2020. According to FINRA: Kang consented to the sanction and to the entry of findings that …

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 …