Andre Pierre Davis (Andre Davis) Financial Advisor/Broker Andre Davis Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Andre Pierre Davis (Andre Davis) CRD #1417097 According to Andre Davis’ BrokerCheck Report: Andre Davis was a previously licensed financial advisor/broker with Paulson Investment Company LLC, First Standard Financial Company LLC and National Securities Corporation. Andre Davis was …

Donald Joseph Fowler (Donald Fowler) – SEC Charges Financial Advisor/Broker Donald Fowler with Fraud | Goodman & Nekvasil P.A., May Recover Investor Losses Donald Joseph Fowler (Donald Fowler) Financial Advisor CRD #4989632 Donald Fowler was a formerly registered financial advisor with Worden Capital Management LLC and J.D. Nicholas & Associates, Inc. According to the SEC: The Securities and Exchange Commission …

Scott Vincent Kaup (Scott Kaup) – Customer Disputes Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Scott Kaup | Goodman & Nekvasil P.A., May Recover Investor Losses Scott Vincent Kaup (Scott Kaup) CRD #1002907 Scott Kaup is a licensed financial advisor with Cetera Advisor Networks LLC. Scott Kaup was previously licensed with Summit Brokerage Services, Inc. and VSR Financial Services, …

Kristian L. Finfrock (Kristian Finfrock) – Customer Dispute Filed Involving Financial Advisor, Broker Kristian Finfrock | Goodman & Nekvasil P.A. May Recover Investor Losses  Kristian L. Finfrock (Kristian Finfrock) CRD #5421676 Kristian Finfrock is a currently licensed financial advisor/broker with Kalos Capital, Inc.  According to Kristian Finfrock’s BrokerCheck Report, a customer dispute has been filed alleging sales practice violations against …

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. …