Goodman & Nekvasil, P.A., May Recover Investor Losses – Do you have losses in National Securities Corp Auto-Callable Structured Notes? Auto-callable structured notes are short-term market linked investments that offer investors a coupon (i.e., income stream). The auto-callable structured note is linked to an underlying index or stock and has a maturity date on which the investor can receive a …

Goodman & Nekvasil, P.A., May Recover Investor Losses – Do you have losses in Bull Steepeners? According to Investopedia a Bull Steepener is a change in the yield curve caused by short-term interest rates falling faster than long-term rates, resulting in a higher spread between the two rates. A bull steepener occurs when the Fed Reserve is expected to lower interest rates. …

Goodman & Nekvasil, P.A., May Recover Investor Losses – Do you have losses in Bear Steepeners? According to Investopedia a Bear Steepener is the widening of the yield curve caused by long-term rates increasing at a faster rate than short-term rates.  A steepener is a type of complex, structured investment product. Essentially, a steepener is an interest rate swap. With a steepener …

Goodman & Nekvasil, P.A., May Recover Investor Losses – Do you have losses in Callable CDs? According to the SEC a Callable CD is a CD in which the issuing bank the right to terminate – or “call” – the CD after a set period of time, but they do not give the CD holder the same right. If interest …

Gregory Spencer O’Brien (Gregory O’Brien) – Customer Disputes Filed Involving Financial Advisor/Broker Gregory O’Brien | Goodman & Nekvasil P.A. May Recover Investor Losses Gregory Spencer O’Brien (Gregory O’Brien) CRD #3154314 Gregory O’Brien is a licensed financial advisor with PHX Financial, Inc. Gregory O’Brien was previously licensed with Aegis Capital Corp. According to Gregory O’Brien’s BrokerCheck report, two customer disputes are …

Sune Gaulsh – Financial Advisor/Broker Sune Gaulsh Suspended from the Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Sune Gaulsh CRD #5797295 Sune Gaulsh was a previously licensed financial advisor/broker with Barclays Capital, Inc. FINRA reports that Sune Gaulsh was fined $10,000 and suspended from the securities industry for nine months in May 2020. According to FINRA …

Robert Gene Nordaune (Robert Nordaune) – Financial Advisor/Broker Robert Nordaune Suspended from the Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Robert Gene Nordaune (Robert Nordaune) CRD #2313216 Robert Nordaune was a previously licensed financial advisor/broker with Thrivent Investment Management, Inc. FINRA reports that Robert Nordaune was fined $5,000 and suspended from the securities industry for 30 …

Donald Stephen Woods (Don Woods) – Financial Advisor/Broker Don Woods Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Donald Steven Woods (Don Woods) CRD #4780629 Don Woods was a previously licensed financial advisor with Thurston Springer Financial and LPL Financial LLC. According to FINRA, Don Woods was suspended from the securities industry for six months and …

CAN Capital, Inc. – SEC Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses on Class B Subordinated Notes According to the SEC:  This case involves violations of the of the federal securities laws by CAN Capital―a merchant cash advance (“MCA”) company and servicing company for small business loans. In 2014, CAN Capital raised $191 million from investors …

Goodman & Nekvasil, P.A., May Recover Investor Losses – Do you have losses in Market-Linked CDs? A market-linked CD is a certificate of deposit with a return based on a collection of stocks or a market index, such as the S&P 500. One of these CDs can also be called an index-linked CD, an equity-linked CD, or an MLCD. The SEC Lists Risks Associated with …