Maria Fan – Financial Advisor/Broker Maria Fan Previously Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Maria Fan CRD #4926890 Maria Fan was a previously registered financial advisor with Wilmington Capital Securities, LLC and Aegis Capital Corp. According to FINRA, Maria Fan was fined $7,500 and suspended from the securities industry for 60 days in …
Nicholas George Tsikitas (Nicholas Tsikitas) – Customer Disputes Filed Alleging Sales Practice Violations
Nicholas George Tsikitas (Nicholas Tsikitas) – Customer Disputes Filed Alleging Sales Practice Violations Nicholas George Tsikitas (Nicholas Tsikitas) CRD #2871712 According to Nicholas Tsikitas’s BrokerCheck Report, customer disputes have been filed alleging sales practice violations against Nicholas Tsikitas. Customer Dispute 10/8/19: Claimant alleges misrepresentation, omission of material facts, churning, unsuitable transactions and breach of fiduciary duty. This customer dispute is …
Jonathan Edward Rago (Jonathan Rago) – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Jonathan Rago
Jonathan Edward Rago (Jonathan Rago) – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Jonathan Rago | Goodman & Nekvasil P.A., May Recover Investor Losses Jonathan Edward Rago (Jonathan Rago) CRD #6132213 Jonathan Rago was a previously licensed financial advisor with Aegis Capital Corp. According to Jonathan Rago’s BrokerCheck Report, a customer disputes have been filed alleging sales …
Kenneth Martin Dlouhy (Kenneth Dlouhy) Financial Advisor/Broker Barred from Securities Industry
Kenneth Martin Dlouhy (Kenneth Dlouhy) Financial Advisor/Broker Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Kenneth Martin Dlouhy (Kenneth Dlouhy) CRD #2205015 Kenneth Dlouhy was a previously licensed financial advisor with Cantone Research, Inc. Kenneth Dlouhy was barred from the securities industry in 2016. According to FINRA, Kenneth Dlouhy failed to respond to FINRA’s request …
Raghuram Selvaraju – Financial Advisor/Broker Raghuram Selvaraju Previously Suspended from Securities Industry
Raghuram Selvaraju Financial Advisor/Broker Raghuram Selvaraju Previously Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Raghuram Selvaraju CRD #4978539 Raghuram Selvaraju was a previously registered financial advisor with H.C. Wainwright & Co., LLC. According to FINRA, Raghuram Selvaraju was fined $5,000 and suspended from the securities industry for 30 days in May 2015. According …
David Bruce Drucker (David Drucker) Financial Advisor/Broker David Drucker Previously Suspended from Securities Industry
David Bruce Drucker (David Drucker) Financial Advisor/Broker David Drucker Previously Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses David Drucker CRD #1425062 David Drucker was a previously registered financial advisor with Aegis Capital Corp. According to FINRA, David Drucker was suspended from the securities industry indefinitely in March 2016. According to FINRA: David Drucker consented …
Paul Anthony Posillico (Paul Posillico) – Financial Advisor/Broker Paul Posillico Barred from Securities Industry
Paul Anthony Posillico (Paul Posillico) – Financial Advisor/Broker Paul Posillico Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Paul Posillico CRD #4194630 Paul Posillico was a previously registered financial advisor with Aegis Capital Corp. According to Paul Posillico’s BrokerCheck report, Paul Posillico was barred from the securities industry in June 2015. According to FINRA: …
Malcolm Segal – Financial Advisor/Broker Malcolm Segal Barred from Securities Industry
Malcolm Segal – Financial Advisor/Broker Malcolm Segal Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Malcolm Segal CRD #1723563 Malcolm Segal was a formerly licensed financial advisor with Aegis Capital Corp. According to Malcolm Segal’s BrokerCheck report, Malcolm Segal was barred from the securities industry in November 2014. According to FINRA: Malcolm Segal consented to …
James Larkin Powers (James Powers) – Financial Advisor/Broker James Powers Barred from Securities Industry
James Larkin Powers (James Powers) – Financial Advisor/Broker James Powers Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses James Larkin Powers (James Powers) CRD #2450818 James Larkin Powers (James Powers) was a formerly licensed financial advisor with IFS Securities and Aegis Capital Corp. According to James Powers’ BrokerCheck report, James Powers was barred from the …
Michael Stephen Cohen (Michael Cohen) Financial Advisor/Broker Michael Cohen Previously Suspended from Securities Industry
Michael Stephen Cohen (Michael Cohen) Financial Advisor/Broker Michael Cohen Previously Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Michael Cohen CRD #2239469 Michael Cohen was a previously registered financial advisor with Dinosaur Financial Group LLC, IFS Securities and Aegis Capital Corp. According to FINRA, Michael Cohen was suspended from the securities industry indefinitely in April …