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, …

Randolph Acquisitions, Inc. CEO Sentenced to Prison for Securities Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses According to the Department of Justice:    Richard J. Randolph, III has been sentenced for securities fraud he committed while CEO of Randolph Acquisitions, Inc. “Corporate executives, like Randolph, are expected to defend investors’ money, not take advantage of their position …

Blue Rock Ventures LLC and Windy City Accelerated Returns Venture I LLC Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission charged Jefferey A. Gordon of Dallas, Texas and two companies he controls with defrauding at least 18 investors out of nearly $1 million in a real …

Lyle Wesley Davis – Financial Advisor/Broker Lyle Wesley Davis Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Lyle Wesley Davis CRD #62352 Lyle Wesley Davis is a licensed financial advisor with Wilson-Davis & Co., Inc. According to FINRA, Lyle Wesley Davis was fined $30,000 and suspended from the securities industry for 3 months beginning in …

James C Snow Jr – Financial Advisor/Broker James C Snow Jr Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses James C. Snow Jr. CRD #2761102 James C. Snow Jr. is a licensed financial advisor with Wilson-Davis & Co. Inc. According to FINRA, James C. Snow Jr. was fined $30,000 and suspended from the securities industry …

Christian Murray Evans – Financial Advisor/Broker Christian Murray Evans Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Christian Murray Evans CRD #6325180 Christian Murray Evans was a previously licensed financial advisor with Morgan Stanley and Highland Capital Funds Distributor. According to FINRA, Christian Murray Evans was fined $5,000 and suspended from the securities industry for …