Goodman & Nekvasil, P.A., May Recover Investor Losses – Do you have losses in Credit Suisse Structured Notes? In 2015, the Securities and Exchange Commission issues a risk alert which discussed structured products.  The SEC also found that brokerage firms’ supervision of sales of structured products and their supervisory procedures were weak and insufficient. Goodman & Nekvasil, P.A. is investigating …

Michael B. Mountjoy (Mike Mountjoy) – Financial Advisor/Broker Mike Mountjoy Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Michael Mountjoy (Mike Mountjoy) CRD #4421573 Mike Mountjoy was a previously licensed financial advisor/broker with LPL Financial LLC. According to FINRA, Mike Mountjoy was fined $10,000 and suspended from the securities industry for six months in May …

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 was a previously 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 two months in November 2019. According to FINRA …

Thomas Maroun Hakim (Thomas Hakim) – Financial Advisor/Broker Thomas Hakim Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Thomas Maroun Hakim (Thomas Hakim) CRD #1170096 Thomas Hakim was a previously licensed financial advisor/broker with G.A. Repple & Company. FINRA reports that Thomas Hakim was barred from the securities industry in May 2020.   According to …

James Kennedy (Jim Kennedy) Financial Advisor/Broker Jim Kennedy Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses James Kennedy (Jim Kennedy) CRD #1527660 According to Jim Kennedy’s BrokerCheck Report: Jim Kennedy was a previously licensed financial advisor/broker with Woodbury Financial Services, Inc. According to FINRA: Jim Kennedy consented to the sanction and to the entry of …

Sean Michael Refsnider (Sean Refsnider) – FINRA Files Complaint Against Financial Advisor/Broker Sean Refsnider | Goodman & Nekvasil, P.A. May Recover Investor Losses Sean Michael Refsnider (Sean Refsnider) CRD #4762963 Sean Refsnider was a previously licensed financial advisor/broker with Ameriprise Financial Services, Inc. According to FINRA Allegations: From July 2019 through August 2019 (the “Relevant Period”), while associated with Ameriprise …

Frederick Markley Stow (Frederick Stow) – Financial Advisor/Broker Frederick Stow Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Frederick Markley Stow (Frederick Stow) CRD #864436 Frederick Stow was a previously licensed financial advisor/broker with Raymond James. FINRA reports that Frederick Stow was barred from the securities industry in January 2020. According to FINRA:  Frederick Stow …

Yee Htwe (Sandra Htwe) – Financial Advisor/Broker Sandra Htwe Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Yee Htwe (Sandra Htwe) CRD #6437691 Sandra Htwe was a previously licensed financial advisor/broker with Merrill Lynch and Farmers Financial Solutions, LLC. According to FINRA, Sandra Htwe was barred from the securities industry in April 2020. According to …

Paul David Weiss (Paul Weiss) – Financial Advisor/Broker Paul Weiss Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Paul David Weiss (Paul Weiss) CRD #1849504 Paul Weiss was a previously licensed financial advisor/broker with Mora WM Securities. According to FINRA, Paul Weiss was fined $20,000 and suspended from the securities industry for ten months in …