Narinder Kaur Singh (Narinder Dutt) – Customer Disputes Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Narinder Dutt | Goodman & Nekvasil P.A., May Recover Investor Losses -Update 9/1/20- Narinder Dutt has been barred from the securities industry by FINRA Narinder Kaur Singh (Narinder Dutt) Financial Advisor/Broker CRD #3100308 Narinder Dutt was a previously licensed financial advisor/broker with Farmers Financial …
Bradley Joseph Tennison (Bradley Tennison) – Financial Advisor Bradley Tennison Barred from Securities Industry
Bradley Joseph Tennison (Bradley Tennison) – Financial Advisor/Broker Bradley Tennison Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Bradley Tennison CRD #1561988 Bradley Tennison was licensed with Geneos Wealth Management, Inc. from 2005 to 2018. FINRA reports that Bradley Tennison was discharged from Geneos Wealth Management on April 25, 2018. Geneos Wealth Management, Inc. reported to FINRA …
Dustin Paul Shafer (Dustin Shafer) – Customer Disputes Filed Involving Financial Advisor/Broker Dustin Shafer
Dustin Paul Shafer (Dustin Shafer) – Customer Disputes Filed Involving Financial Advisor/Broker Dustin Shafer | Goodman & Nekvasil P.A. May Recover Investor Losses Dustin Paul Shafer (Dustin Shafer) CRD #4198962 -Update 1/19/21- Dustin Paul Shafer was barred from the securities industry by FINRA, after Shafer consented to the sanction and to the entry of findings that he refused to appear …
James Joseph Van Ham (James Van Ham) – Financial Advisor/Broker James Van Ham Suspended from the Securities Industry
James Joseph Van Ham (James Van Ham) – Financial Advisor/Broker James Van Ham Suspended from the Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses James Joseph Van Ham (James Van Ham) CRD #1231636 James Van Ham was a previously licensed financial advisor/broker with The O.N. Equity Sales Company and Country Capital Management Company. FINRA reports that James …
Albert Dishner – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Albert Dishner
Albert Dishner – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Albert Dishner | Goodman & Nekvasil P.A., May Recover Investor Loss Albert Dishner CRD #1912362 Albert Dishner is a currently licensed financial advisor/broker with Morgan Stanley. Albert Dishner was a previously licensed financial advisor with Credit Suisse Securities LLC. According to Albert Dishner’s BrokerCheck Report, a customer …
Matthew Roy Wilson (Matthew Wilson) Financial Advisor/Broker Matthew Wilson | Goodman & Nekvasil, P.A. May Recover Investor Losses on Conservation Easement Investments
Matthew Roy Wilson (Matthew Wilson) Financial Advisor/Broker Matthew Wilson | Goodman & Nekvasil, P.A. May Recover Investor Losses on Conservation Easement Investments Matthew Roy Wilson (Matthew Wilson) CRD #4576995 Matthew Wilson is a licensed financial advisor with Ausdal Financial Partners, Inc. Matthew Wilson was previously licensed with Capital Financial Services, Inc. According to SEC regulatory filings, Matthew Wilson has been, …
Henry Klausman (Hank Klausman) – Customer Disputes Filed Involving Financial Advisor/Broker Hank Klausman
Henry Klausman (Hank Klausman) – Customer Disputes Filed Involving Financial Advisor/Broker Hank Klausman | Goodman & Nekvasil P.A. May Recover Investor Losses Henry Klausman (Hank Klausman) CRD #271217 Hank Klausman is a previously licensed financial advisor/broker with Triad Advisors, Inc. According to Hank Klausman’s BrokerCheck report, customer disputes have been filed alleging sales practice violations against Hank Klausman. Customer Dispute …
Irene Padrick Engard (Irene Smith) Financial Advisor/Broker Irene Smith Barred from Securities Industry
Irene Padrick Engard (Irene Smith) Financial Advisor/Broker Irene Smith Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Irene Padrick Engard (Irene Smith) CRD #2300387 Irene Smith was a previously licensed financial advisor/broker with PFS Investments, Inc. According to FINRA, Irene Smith was barred from the securities industry indefinitely in May 2020. According to FINRA: Concerning …
Chams Khwaja (Sean Khwaja) – FINRA Files Complaint Against Financial Advisor/Broker Sean Khwaja
Chams Khwaja (Sean Khwaja) – FINRA Files Complaint Against Financial Advisor/Broker Sean Khwaja | Goodman & Nekvasil, P.A. May Recover Investor Losses Chams Khwaja (Sean Khwaja) CRD #6906622 Sean Khwaja was a previously registered financial advisor/broker with Worden Capital Management LLC. According to FINRA, FINRA filed a complaint against Sean Khwaja in April 2020. According to FINRA Allegations: Sean Khwaja …
Lightwave Capital LLC Fails to Reimburse Investors Principal
Lightwave Capital LLC Fails to Reimburse Investors Principal | Goodman & Nekvasil P.A. May Recover Investor Losses in Lightwave Capital LLC Investors in Component Sourcing Group, Inc. an unregistered security, assigned their notes to Lightwave Capital LLC. In return, Lightwave Capital LLC promised to reimburse their investment principal, and failed to do so. Investors in Lightwave Capital LLC May Recover …