Tricent Capital LLC – SEC Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:  The Securities and Exchange Commission announced that Dallas, Texas resident Adam Matthew Root has agreed to settle charges arising from a fraudulent securities offering spanning nearly a year, but which ultimately raised no investor funds. The SEC’s complaint alleges that …

Michael Rubel – Financial Advisor/Broker Suspended by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Michael Rubel CRD #4935564 Michael Rubel is a licensed financial advisor with B Riley Wealth Management. Michael Rubel was a previously licensed financial advisor with Capitol Securities Management. FINRA reports that Michael Rubel will be suspended from the securities industry for 45 days …

Edgar Davis Mock III (Dave Mock) – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Dave Mock | Goodman & Nekvasil P.A., May Recover Investor Loss Edgar Davis Mock III (Dave Mock) CRD #1309680 Dave Mock is a currently licensed financial advisor/broker with Trustmont Financial Group, Inc. Dave Mock was a previously licensed financial advisor with Money Management …

Mark Christopher Perry (Mark Perry) – Customer Disputes Filed Involving Financial Advisor/Broker Mark Perry | Goodman & Nekvasil P.A. May Recover Investor Losses Mark Christopher Perry (Mark Perry) CRD #2197284 Mark Perry was a previously licensed financial advisor/broker with Brokers International Financial Services and AXA Advisors LLC. According to Mark Perry’s BrokerCheck report, customer disputes have been filed alleging sales …

Coral Gables Asset Management LLC and David Coggins – SEC Files Complaint | Recover Losses According to the SEC:  The Securities and Exchange Commission today announced that it has filed an emergency action against Florida-based investment adviser Coral Gables Asset Management LLC and its sole owner, David C. Coggins, in connection with an alleged fraudulent offering. On Aug. 20, 2020, U.S. District …

Dominic Tropiano – Financial Advisor/Broker Dominic Tropiano Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Dominic Tropiano CRD #4761462 Dominic Tropiano was a previously licensed financial advisor/broker with Key Investment Services LLC. FINRA reports that Dominic Tropiano was barred from the securities industry indefinitely in May 2019 According to FINRA Allegations: Tropiano consented to the …

James Rapisarda – Financial Advisor/Broker James Rapisarda Suspended by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses James Rapisarda CRD #1851883 James Rapisarda was a previously licensed financial advisor with LPL Financial LLC and National Planning Corporation. FINRA reports that James Rapisarda was suspended from the securities industry for 15 days in September 2020. According to FINRA Allegations: …

Yvonne Nirelli – Financial Advisor/Broker Yvonne Nirelli Suspended by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Yvonne Nirelli CRD #1364313 Yvonne Nirelli is a licensed financial advisor with Cadaret and Grant. FINRA reports that Yvonne Nirelli was suspended for 15 business days and fined $5,000 in September 2020. According to FINRA Allegations: Yvonne Nirelli consented to the …

Rani Soto – Financial Advisor/Broker Rani Soto Investigated by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Rani Soto CRD #6016117 Rani Soto was a previously licensed financial advisor with Prudential Investment Management Services LLC. FINRA reports that Rani Soto was investigated by FINRA. According to FINRA Allegations: On July 17, 2020, FINRA made a preliminary determination to …

Gregory Powell Talbot (Greg Talbot) – Customer Dispute Filed Involving Financial Advisor/Broker Greg Talbot | Goodman & Nekvasil P.A. May Recover Investor Losses Greg Talbot CRD #2662342 Greg Talbot is a currently licensed financial advisor with Wells Fargo. According to Greg Talbot’s BrokerCheck report, customer disputes have been filed alleging sales practice violations against Greg Talbot. Customer Dispute 4/28/15: The …