Roger Lee Owens (Roger Owens) – Arbitration Claims Filed Involving Financial Advisor, Broker Roger Owens | Goodman & Nekvasil P.A. Files Arbitration Claims on Woodbridge Mortgage Investment Fund  Roger Lee Owens (Roger Owens) CRD #2359204 Goodman & Nekvasil, P.A. has filed arbitration claims against Cetera Advisors LLC seeking to recover monies lost by an investor in the fraudulent, Woodbridge Mortgage Investment Fund. Roger …

George Craig Merhoff (George Merhoff) – Arbitration Claim Filed Involving Financial Advisor, Broker George Merhoff | Goodman & Nekvasil P.A., May Recover Investor Losses  George Craig Merhoff (George Merhoff) Financial Advisor, Broker CRD #2918171 Since 2012, George Merhoff worked for Cetera Advisors LLC. FINRA reports that the Oregon Department Consumer and Business Services, Division of Financial Regulation (“DFR”) brought an enforcement …

Christopher Kozak – Broker, Financial Advisor Christopher Kozak Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Christopher Kozak CRD #5530806 Christopher Kozak was a formerly licensed financial advisor with Cetera Advisors LLC. According to FINRA Allegations: Christopher Kozak consented to the sanctions and to the entry of findings that Christopher Kozak engaged in an undisclosed …

Christopher Robert Hickman (Christopher Hickman) – Financial Advisor/Broker Christopher Hickman Previously Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Christopher Robert Hickman (Christopher Hickman) CRD #3267599 Richard Crockett was a previously registered financial advisor with Cetera Advisors LLC. According to FINRA, Richard Crockett was fined $5,000 and suspended from the securities industry for five months in …

Gary Ryan Fletcher (Ryan Fletcher) Financial Advisor/Broker Ryan Fletcher Guilty of Fleeing and Alluding | Goodman & Nekvasil, P.A. May Recover Investor Losses Gary Ryan Fletcher (Ryan Fletcher) CRD #5452492 Ryan Fletcher was a previously licensed financial advisor with International Assets Advisory, LLC, Cetera Advisors LLC and Edward Jones. Ryan Fletcher pled guilty to fleeing and alluding in July 2018. …

Daniel Vazquez (Dan Vazquez) Financial Advisor/Broker Dan Vazquez Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Daniel Vazquez aka Dan Vasquez (Dan Vazquez) CRD #3141463 Dan Vazquez was a previously licensed financial advisor with Cetera Advisors LLC. Dan Vazquez was barred from the securities industry in June 2016. According to FINRA, Dan Vazquez failed to …

Omar K. Henry (Omar Henry) – Broker, Financial Advisor Omar Henry Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Omar K. Henry (Omar Henry) CRD #5751648 Omar Henry was a previously licensed financial advisor with Cetera Advisors LLC and JP Morgan Securities LLC. According to Omar Henry’s BrokerCheck report, Omar Henry was barred from the …

David Scott Sweat (David Sweat) – Customer Disputes Filed Involving Financial Advisor/Broker David Sweat | Goodman & Nekvasil P.A. May Recover Investor Losses David Scott Sweat (David Sweat) CRD #5502379 David Sweat was a formerly licensed financial advisor/broker with Kalos Capital, Inc. According to David Sweat’s BrokerCheck report, two customer disputes has been filed alleging sales practice violations against David …

Thomas Howard Caniford (Tom Caniford) Financial Advisor/Broker Tom Caniford Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Tom Howard Caniford (Tom Caniford) CRD #1049021 Tom Caniford was a previously licensed financial advisor/broker with LPL Financial LLC. Tom Caniford was barred from the securities industry by the SEC in March, 2017. According to the SEC: On …

Wessam Baiz (Wes Baiz) – Financial Advisor/Broker Wes Baiz Barred from Securities Industry  | Goodman & Nekvasil P.A., May Recover Investor Losses Wes Baiz CRD #6501692 Wes Baiz was a previously licensed financial advisor with The Huntington Investment Company and MML Investors Services, LLC. According to Wes Baiz’ CRD, Wes Baiz was barred from the securities industry on October 25, 2019. …