Jay DiPaola – Financial Advisor/Broker Jay Dipaola Investigated by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Jason DiPaola a/k/a Jay Dipaola CRD #2648836 Jay DiPaola was a previously licensed financial advisor/broker with Chardan Capital Markets LLC. According to Jay DiPaola’s BrokerCheck Report, Jay DiPaola was investigated by FINRA in March 2021. According to FINRA: On March 26, …

Clarence Dean Alford | SEC Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC: On April 2, 2021, the United States District Court for the Northern District of Georgia entered final judgment on the SEC’s fraud claims against former Georgia state legislator Clarence Dean Alford. The SEC’s complaint alleged that from 2017 to 2019, Alford, who …

Candido Viyella  – Customer Disputes Filed Involving Financial Advisor/Broker Candido Viyella | Goodman & Nekvasil P.A. May Recover Investor Losses Candido Viyella a/k/a Candido Jose Viyella CRD #1829255 Candido Viyella a/k/a Candido Jose Viyella is a previously licensed financial advisor/broker with Morgan Stanley. Candido Viyella was discharged from Morgan Stanley in November 2020 after allegedly being accused of participation in …

Jonathan P. Maroney – SEC Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC: The Securities and Exchange Commission announced that it filed an emergency action and obtained a temporary restraining order and an asset freeze to stop an alleged Ponzi scheme and misappropriation of investor proceeds perpetrated by Melbourne, Florida resident Jonathan P. …

FF Fund Management LLC (FFM) | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC: The Securities and Exchange Commission charged Andrew T. Franzone, former owner of a race car team, and investment adviser FF Fund Management, LLC (“FFM”) with fraudulently raising and misappropriating tens of millions of dollars from the sale of limited partnership interests in …

Gilly Simpson – Customer Dispute Filed Involving Financial Advisor/Broker Gilly Simpson | Goodman & Nekvasil P.A. May Recover Investor Losses John Gilbert Simpson (Gilly Simpson) CRD #5157555 Gilly Simpson a/k/a John Gilbert Simpson is a previously licensed financial advisor/broker with JP Morgan Securities LLC and FSC Securities Corporation. Gilly Simpson is also associated with Simpson Financial, LLC, Nettworth Financial Group …

Sean Westbrook – Customer Dispute Filed Involving Financial Advisor/Broker Sean Westbrook | Goodman & Nekvasil P.A. May Recover Investor Losses Sean Westbrook a/k/a Sean Edward Andrew Westbrook CRD #5090374 Sean Westbrook a/k/a Sean Edward Andrew Westbrook is a licensed financial advisor/broker with Stifel, Nicolaus & Company. Sean Westbrook was previously licensed with FSC Securities Corporation. Sean Westbrook is also affiliated …

Scott Fergang – Broker Scott David Fergang Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Scott Fergang a/k/a Scott David Fergang CRD #1758758 Scott Fergang a/k/a Scott David Fergang is a licensed financial advisor with Stifel, Nicolaus & Company. Scott Fergang was previously licensed financial with RBC Capital Markets LLC. According to FINRA, Scott Fergang …

Fred Rock – Broker Fred Rock Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Fred Rock a/k/a Frederick Joseph Rock CRD #2548242 Fred Rock a/k/a Frederick Joseph Rock is a previously licensed financial advisor licensed financial advisor with Pruco Securities LLC. According to FINRA, Fred Rock was fined $5,000 and was suspended from the securities …

John Scott – Financial Advisor/Broker John Scott Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses John Scott a/k/a John Lee Scott CRD #2407610 John Scott a/k/a John Lee Scott was a previously licensed financial advisor/broker with LPL Financial LLC. According to John Scott’s BrokerCheck Report, John Scott was barred from the securities industry in March 2021. …