Quincy DeEarl Caldwell (Quincy Caldwell) – Financial Advisor/Broker Quincy Caldwell Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Quincy DeEarl Caldwell (Quincy Caldwell) CRD #5583424 Quincy Caldwell was a previously licensed financial advisor/broker with Planmember Securities Corporation. According to FINRA, Quincy Caldwell and suspended from the securities industry for three months and fined $5,000 in …

William Blake McGowan (Blake McGowan) – Financial Advisor/Broker Blake McGowan Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses William Blake McGowan (Blake McGowan) CRD #6385231 Blake McGowan is a previously licensed financial advisor/broker with MML Investors Services, LLC. According to FINRA, Blake McGowan and suspended from the securities industry for 30 days and fined $7,500 …

William David Frier (Dave Frier) – Customer Dispute Filed Involving Financial Advisor/Broker Dave Frier | Goodman & Nekvasil P.A. May Recover Investor Losses William David Frier (Dave Frier) CRD #1029781 Dave Frier was a previously licensed financial advisor with Parkland Securities, LLC. According to Dave Frier’s BrokerCheck report, a customer dispute has been filed alleging sales practice violations against Dave …

Peter Douglas Monson (Peter Monson) – Financial Advisor/Broker Peter Monson Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Peter Douglas Monson (Peter Monson) CRD #2203309 Peter Monson is a currently licensed financial advisor/broker with Van Clemens & Co. Incorporated. According to FINRA, Peter Monson was fined $7,500 and suspended from the securities industry for six …

Robert Juan Escobio (Robert Escobio) Financial Advisor, Broker Robert Escobio Named in FINRA Complaint | Goodman & Nekvasil, P.A. May Recover Investor Losses Robert Juan Escobio (Robert Escobio) CRD #703813 According to Robert Escobio’s BrokerCheck Report: Robert Escobio was a previously licensed financial advisor/broker with Southern Trust Securities, Inc. from 2000 to 2017. According to FINRA: Robert Escobio was named …

Mark Allen Zeller (Mark Zeller) – Customer Dispute Filed Involving Financial Advisor/Broker Mark Zeller | Goodman & Nekvasil P.A. May Recover Investor Losses Mark Allen Zeller (Mark Zeller) CRD #2263684 Mark Zeller is a currently licensed financial advisor with UBS Financial Services, Inc. According to Mark Zeller’s BrokerCheck report, a customer dispute has been filed alleging sales practice violations against …

Dean Harrison Grant – Financial Advisor/Broker Dean Grant Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Dean Harrison Grant (Dean Grant), CRD #1945209 Dean Grant was a licensed financial advisor/broker with M Holdings Securities, Inc. from 2014 to 2019. According to the State of Georgia, Dean Grant is the founder and managing partner of GFG …

Randy T. Carpen (Randy Carpen) Financial Advisor/Broker Randy Carpen Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Randy T. Carpen (Randy Carpen) CRD #2469877 According to Randy Carpen’s BrokerCheck Report: Randy Carpen was a previously licensed financial advisor/broker with Vestech Securities, Inc., IBN Financial Services, Inc. and Freedom Investors Corp. According to FINRA: Randy Carpen …

Kerry Dean Wills (Kerry Wills) – Financial Advisor/Broker Kerry Wills Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Kerry Dean Wills (Kerry Wills) CRD #1353739 Kerry Wills has been a registered financial advisor with First Western Securities, Inc. since 2009. According to FINRA, Kerry Wills was suspended from the securities industry for six months in …

Andrew Joseph Fairchild (Andrew Fairchild) – Financial Advisor/Broker Andrew Fairchild Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Andrew Joseph Fairchild (Andrew Fairchild) CRD #1959274 Andrew Fairchild was a previously registered financial advisor with Newbridge Securities Corporation, Kovack Securities and Investacorp, Inc. According to FINRA, Andrew Fairchild was fined $7,500 and suspended from the securities …