Thomas Joseph Borruso (Thomas Borruso) – Financial Advisor/Broker Thomas Borruso Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Thomas Joseph Borruso (Thomas Borruso) CRD #5475175 Thomas Borruso was a previously licensed financial advisor/broker with LPL Financial LLC. According to Thomas Borruso’s BrokerCheck Report, Thomas Borruso was barred from the securities industry in September 2017. According to …

Kristopher Galicia Rodriguez – Financial Advisor/Broker Kristopher Galicia Rodriguez Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Kristopher Galicia Rodriguez CRD #5985810 Kristopher Galicia Rodriguez was a previously licensed financial advisor/broker with NYLife Securities LLC.  According to Kristopher Galicia Rodriguez’ BrokerCheck Report, Kristopher Galicia Rodriguez was barred from the securities industry in August 2017. According to …

Shawn Evan Burns (Shawn Burns) – Financial Advisor/Broker Shawn Burns Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Shawn Burns CRD #3138114 Shawn Burns was a previously licensed financial advisor/broker with Salomon Whitney Financial. According to Shawn Burns’s BrokerCheck Report, Shawn Burns was barred from the securities industry in August 2017. Additionally, several customer disputes have …

Jeffrey Timothy Kluge (Jeffrey Kluge) – Financial Advisor/Broker Jeffrey Kluge Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Jeffrey Kluge CRD #2187964 Jeffrey Kluge was a previously licensed financial advisor/broker with Merrill Lynch. According to Jeffrey Kluge’s BrokerCheck Report, Jeffrey Kluge was barred from the securities industry in June 2017. According to FINRA: Respondent Kluge failed …

Frank Venturelli (Frank Vaughn) – Broker Frank Vaughn Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Frank Venturelli (Frank Vaughn) CRD #6403468 Frank Vaughn was a previously licensed financial advisor with First Standard Financial Company LLC. According to FINRA, Frank Vaughn was suspended from the securities industry for 11 months. According to FINRA Allegations: Venturelli …

Christopher Richard Wurtzinger (Christopher Wurtzinger) – Broker Christopher Wurtzinger Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Christopher Richard Wurtzinger (Christopher Wurtzinger) CRD #1921024 Christopher Wurtzinger was a previously licensed financial advisor with Sorsby Financial Corp, and Forest Securities, Inc. Christopher Wurtzinger is currently licensed with American Trust Investment Services, Inc. According to FINRA, Christopher …

Barry John Hartwyk (Barry Hartwyk) – Broker Barry Hartwyk Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Barry John Hartwyk (Barry Hartwyk) CRD #1527583 Barry Hartwyk was a previously licensed financial advisor with RBC Capital Markets, LLC. According to FINRA, Barry Hartwyk was suspended from the securities industry for 15 days and fined $5,000 in …

Michael Jason Ripper (Michael Ripper) – Financial Advisor/Broker Michael Ripper Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Michael Ripper CRD #6059694 Michael Ripper was a previously licensed financial advisor/broker with International Assets Advisory LLC and LPL Financial LLC. According to Michael Ripper’s BrokerCheck Report, Michael Ripper was barred from the securities industry in May 2017. …

Sandra Canaba – Financial Advisor/Broker Sandra Canaba Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Sandra Canaba CRD #5631452 Sandra Canaba was a previously licensed financial advisor/broker with LPL Financial LLC. According to Sandra Canaba’s BrokerCheck Report, Sandra Canaba was barred from the securities industry in April 2017. Sandra Canaba was previously discharged from LPL Financial …

Adam James Makkai (Adam Makkai) Financial Advisor/Broker Adam Makkai Investigated by FINRA| Goodman & Nekvasil, P.A. May Recover Investor Losses Adam James Makkai (Adam Makkai) CRD #4025159 Adam Makkai was a previously licensed financial advisor/broker with LPL Financial LLC. According to Adam Makkai’s BrokerCheck Report, Adam Makkai was named a respondent in a FINRA complaint. According to FINRA:  Makkai was …