Curtis Howard Smiley (Curtis Smiley) – Customer Disputes Filed Involving Financial Advisor/Broker Curtis Smiley | Goodman & Nekvasil P.A. May Recover Investor Losses Curtis Howard Smiley (Curtis Smiley) CRD #4443310 Curtis Smiley a/k/a Curtis Howard Smiley was a previously licensed financial advisor/broker with Primex. According to Smiley’s BrokerCheck report, customer disputes have been filed alleging sales practice violations against Smiley. …
Steven Robert Luftschein (Steven Lerner) Financial Advisor/Broker Steven Lerner Named Respondent in FINRA Complaint
Steven Robert Luftschein (Steven Lerner) Financial Advisor/Broker Steven Lerner Named Respondent in FINRA Complaint | Goodman & Nekvasil, P.A. May Recover Investor Losses Steven Robert Luftschein (Steven Lerner) CRD #2690117 Steven Lerner was a previously licensed financial advisor/broker with Joseph Stone Capital LLC and Aegis Capital Corp. According to FINRA, a complaint was filed involving Steven Lerner. According to FINRA: …
Gregory Ricker – Financial Advisor/Broker Gregory Ricker Suspended from the Securities Industry
Gregory Ricker – Financial Advisor/Broker Gregory Ricker Suspended from the Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Gregory Alan Ricker CRD #1834893 Gregory Ricker was a previously licensed financial advisor/broker with WestPark Capital, Inc. FINRA reports that Gregory Ricker was fined $75,000 and $5,000 and suspended from the securities industry for 6 months in July 2020. …
Luke Franklin – Financial Advisor/Broker Luke Franklin Suspended from the Securities Industry
Luke Franklin – Financial Advisor/Broker Luke Franklin Suspended from the Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Luke Franklin CRD #6820148 Luke Franklin was a previously licensed financial advisor/broker with Park Avenue Securities LLC. FINRA reports that Franklin was suspended from the securities industry in July 2019. According to the FINRA allegations, Luke Franklin was suspended …
Christopher Barone – Financial Advisor/Broker Christopher Barone Barred from Securities Industry
Christopher Richard Barone (Christopher Barone) – Financial Advisor/Broker Christopher Barone Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Christopher Richard Barone (Christopher Barone) CRD #2032268 Christopher Barone was a previously licensed financial advisor/broker with Mariner Investment Group, America Northcoast Securities, Inc., and Arbor Court Capital, LLC. FINRA reports that Barone was barred from the securities …
Robert Gerard Merlo (Robert Merlo) – Financial Advisor/Broker Robert Merlo Barred from Securities Industry
Robert Gerard Merlo (Robert Merlo) – Financial Advisor/Broker Robert Merlo Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Robert Gerard Merlo (Robert Merlo) CRD #1608409 Robert Merlo was a previously licensed financial advisor/broker with Allstate Financial Services, LLC. FINRA reports that Merlo was barred from the securities industry in March 2020. According to Robert Merlo’s …
Conrad Coggeshall – Financial Advisor/Broker Conrad Coggeshall Suspended
Conrad Aaron Coggeshall (Conrad Coggeshall) – Financial Advisor/Broker Conrad Coggeshall Suspended from the Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Conrad Aaron Coggeshall (Conrad Coggeshall) CRD #4383687 Conrad Coggeshall was a previously licensed financial advisor/broker with Packerland Brokerage Services, Inc. and USA Financial Securities Corporation. FINRA reports that Conrad Coggeshall was suspended from the securities industry …
Harry Colon Bennett (Harry Bennett) – Financial Advisor/Broker Harry Bennett Barred from Securities Industry
Harry Colon Bennett (Harry Bennett) – Financial Advisor/Broker Harry Bennett Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Harry Colon Bennett (Harry Bennett) CRD #2395555 Harry Bennett was a previously licensed financial advisor/broker with Transamerica Financial Advisors, Inc. FINRA reports that Bennett was barred from the securities industry in November 2016. According to FINRA: Harry …
Dominic Thomas DeBruin (Donnie DeBruin) – Financial Advisor/Broker Donnie DeBruin Barred from Securities Industry
Dominic Thomas DeBruin (Donnie DeBruin) – Financial Advisor/Broker Donnie DeBruin Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Donnie DeBruin (Donnie DeBruin) CRD #2395555 Donnie DeBruin was a previously licensed financial advisor/broker with LPL Financial LLC. FINRA reports that Donnie DeBruin was barred from the securities industry in November 2016. According to FINRA: Donnie DeBruin …
Wesley Evans – Financial Advisor/Broker Wesley Evans Barred from Securities Industry
Wesley James Evans (Wesley Evans) – Financial Advisor/Broker Wesley Evans Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Wesley James Evans (Wesley Evans) CRD #6617516 Wesley Evans was a previously licensed financial advisor/broker with J.P. Morgan Securities LLC. FINRA reports that Wesley Evans was barred from the securities industry in July 2020. According to FINRA: …