Jeffrey Howard Dillman (Jeff Dillman) – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Jeff Dillman | Goodman & Nekvasil P.A., May Recover Investor Losses Jeffrey Howard Dillman (Jeff Dillman) Financial Advisor/Broker CRD #2515858 Jeff Dillman is a currently registered financial advisor/broker at Trustmont Financial Group, Inc. and Money Management Advisory, Inc. According to Jeff Dillman’s BrokerCheck Report, …

Rajesh Gupta – Financial Advisor/Broker Suspended by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Rajesh Gupta CRD #2071729 Michael Rubel was a previously licensed financial advisor with Morgan Stanley. FINRA reports that Michael Rubel was suspended from the securities industry indefinitely in June 2020. According to FINRA Allegations: Rajesh Gupta failed to comply with an arbitration award …

Peter Vincent Ianace (Peter Ianace) – Customer Dispute Filed Involving Financial Advisor/Broker Peter Ianace | Goodman & Nekvasil P.A. May Recover Investor Losses Peter Ianace CRD #3238078 Peter Ianace was a previously licensed financial advisor/broker with Wells Fargo and Merrill Lynch. According to Peter Ianace’s BrokerCheck report, a customer dispute has been filed alleging sales practice violations against Peter Ianace. …

John Charles Wyshak (John Wyshak) – Financial Advisor/Broker John Wyshak Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses John Charles Wyshak (John Wyshak) CRD #1272260 John Wyshak was a previously licensed financial advisor/broker with Raymond James & Associates. FINRA reports that John Wyshak was barred from the securities industry indefinitely in April 2020. According to …

Scott Jordan Levine (Scott Levine) – Financial Advisor/Broker Scott Levine Suspended by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Scott Jordan Levine (Scott Levine) CRD #4401053 Scott Levine was a previously licensed financial advisor with Craft Capital Management LLC and PHX Financial, Inc. FINRA reports that Scott Levine was suspended from the securities industry for 2 months …

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 …