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 …

Goodman & Nekvasil, P.A., May Recover Investor Coronavirus Crash Losses – Did You Have Losses in Structured Notes During the Coronavirus Crash? Goodman & Nekvasil, P.A. is investigating losses suffered by investors in various structured products that resulted from the Coronavirus stock market crash. As the Dow fell from its peak of over 29,000 to 21,200, investors holding structured notes …

Goodman & Nekvasil, P.A., May Recover Investor Losses – Did you Lose Money in Goldman Sachs Callable Quarterly CMS Spread-Linked Notes? Structured notes are securities issued by financial institutions whose returns are based on, among other things, equity indexes, a single equity security, a basket of equity securities, interest rates, commodities, and/or foreign currencies.  Thus, your return is “linked” to …

Michael Anthony Fahsholtz (Michael Fahsholtz) – Customer Disputes Filed Involving Financial Advisor/Broker Michael Fahsholtz | Goodman & Nekvasil P.A. May Recover Investor Losses Michael Anthony Fahsholtz (Michael Fahsholtz) CRD #2057306 Michael Fahsholtz is a currently licensed financial advisor/broker with Stifel, Nicolaus & Company, Incorporated. According to Michael Fahsholtz’ BrokerCheck report, four customer disputes have been filed alleging sales practice violations …

Is a Steepener a Type of Structured Note? Goodman & Nekvasil, P.A. May Recover Losses on Steepener Notes What are Structured Notes? Structured notes are securities issued by financial institutions whose returns are based on, among other things, equity indexes, a single equity security, a basket of equity securities, interest rates, commodities, and/or foreign currencies.  Thus, your return is “linked” …

John B Dobbertin (John Dobbertin) – Customer Dispute Filed Involving Financial Advisor/Broker John Dobbertin | Goodman & Nekvasil, P.A. May Recover Losses John Dobbertin CRD #3254308 John Dobbertin is a currently licensed financial advisor/broker with American Portfolios Financial Services, Inc. According to John Dobbertin’s BrokerCheck report, a customer dispute has been filed alleging sales practice violations against John Dobbertin. Customer …

Timothy Brent Hetrick (Tim Hetrick) Financial Advisor/Broker Tim Hetrick Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Timothy Brent Hetrick (Tim Hetrick) CRD #2048466 According to Tim Hetrick’s BrokerCheck Report: Tim Hetrick was a previously licensed financial advisor/broker with U.S. Brokerage, Inc. According to FINRA: Tim Hetrick consented to the sanction and to the entry …

David Weisberg – Financial Advisor/Broker David Weisberg Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses David Weisberg CRD #5610111 David Weisberg is a licensed financial advisor/broker with Worden Capital Management LLC. According to FINRA, David Weisberg was fined $7,500 and suspended from the securities industry for 11 months beginning in May 2020. According to FINRA …

Brian Joseph Harte (Brian Harte) – Financial Advisor/Broker Brian Harte Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Brian Joseph Harte (Brian Harte) CRD #4780629 Brian Harte is a licensed financial advisor/broker with E1 Asset Management, Inc. According to FINRA, Brian Harte will be suspended from the securities industry for 10 days in June 2020. …