William James Hite (William Hite) – Financial Advisor/Broker William Hite Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses William James Hite (William Hite) CRD #1675972 William Hite was a previously licensed financial advisor/broker with NYLife Securities, LLC and MetLife Securities, Inc. According to FINRA, William Hite was fined $7,500 and suspended from the securities industry …

Ashley K. Martin (Ashely Martin) – Financial Advisor/Broker Ashley Martin Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Ashley Martin CRD #4628096 Ashley Martin was a previously licensed financial advisor/broker with Morgan Stanley. FINRA reports that Ashley Martin was barred from the securities industry in March 2020. According to FINRA:  Ashley Martin consented to the …

Goldman Sachs Energy & Renaissance Fund | Goodman & Nekvasil, P.A., May Recover Investor Losses on Goldman Sachs Energy & Renaissance Fund According to Yahoo! Finance: Goldman Sachs MLP and Energy Renaissance Fund is a non-diversified, closed-end management investment company managed by Goldman Sachs Asset Management’s (“GSAM’s”) Energy & Infrastructure Team, which is among the industry’s largest MLP investment groups.  …

Jeffrey Hall Heely (Jeffrey Heely) – Financial Advisor/Broker Jeffrey Heely Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Jeffrey Hall Heely (Jeffrey Heely) CRD #1188842 Jeffrey Heely was a previously licensed financial advisor/broker with NMS Capital Advisors, LLC, Four Points Capital Partners LLC, Rainmaker Securities, LLC and Sanctuary Securities LLC. According to FINRA, Jeffrey Heely …

Steve Lu – Financial Advisor/Broker Steve Lu Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Steve Lu CRD #6856088 According to Steve Lu’s BrokerCheck Report: Steve Lu was a previously licensed financial advisor/broker with J.P. Morgan Securities LLC. According to FINRA: Steve Lu consented to the sanction and to the entry of findings that after …

James William Flower (Jim Flower) – Financial Advisor/Broker Jim Flower Suspended from Securities Industry​ | Goodman & Nekvasil P.A., May Recover Investor Losses Jim Flower CRD # 2817701 Jim Flower has been licensed with SW Financial in New York since 2015. FINRA reports that Jim Flower was suspended from the securities industry for three months in July 2017. According to FINRA: …

Piero B DiLorenzo (Piero DiLorenzo) Financial Advisor/Broker Piero DiLorenzo Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Piero B. DiLorenzo (Piero DiLorenzo) CRD #4670150 According to Piero DiLorenzo’s BrokerCheck Report: Piero DiLorenzo was a previously licensed financial advisor/broker with NYLife Securities, LLC. According to FINRA: Piero DiLorenzo consented to the sanction and to the entry …

Robert Renteria – Financial Advisor/Broker Robert Renteria Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Robert Renteria CRD #5773053 Robert Renteria was a previously licensed financial advisor/broker with PFS Investments, Inc. FINRA reports that Robert Renteria was barred from the securities industry in April 2020. According to FINRA:  Robert Renteria consented to the sanction and …

Peggy Jean Doherty-Punderson (Peggy Doherty-Punderson) Financial Advisor/Broker Peggy Doherty-Punderson Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Peggy Doherty-Punderson CRD #1535750 Peggy Doherty-Punderson was a previously licensed financial advisor/broker with Morgan Stanley. FINRA reports that Peggy Doherty-Punderson was barred from the securities industry in April 2020. According to FINRA:  Peggy Doherty-Punderson consented to the sanction …

Kevin Marshall McCallum (Kevin McCallum) – Customer Disputes Filed Involving Financial Advisor/Broker Kevin McCallum | Goodman & Nekvasil P.A. May Recover Investor Losses Kevin Marshall McCallum (Kevin McCallum) CRD #2222586 Kevin McCallum is a formerly licensed financial advisor with LPL Financial LLC. According to Kevin McCallum’s BrokerCheck report, two customer disputes have been filed alleging sales practice violations against Kevin …