Robert Scott Nathan (Robert Nathan) – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Robert Nathan | Goodman & Nekvasil P.A., May Recover Investor Losses Robert Scott Nathan (Robert Nathan) Financial Advisor/Broker CRD #2297062 Robert Nathan is a licensed financial advisor with Primary Capital, LLC. Robert Nathan was previously licensed with Monarch Capital Group, LLC and Tripoint Global …

Strategic Return Notes – Cease and Desist Order Filed by SEC Against Merrill Lynch | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Findings: These proceedings involve Merrill Lynch’s failure to adequately disclose certain fixed costs in a proprietary volatility index linked to structured notes known as Strategic Return Notes (“SRNs”) of Bank of America Corporation …

Aaron L. Austin (Aaron Austin) – Financial Advisor/Broker Aaron Austin Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Aaron Austin CRD #: 5481214 Aaron Austin was a formerly licensed financial advisor with LPL Financial LLC. According to Aaron Austin’s BrokerCheck report, Aaron Austin was barred from the securities industry in December 2018. According to Aaron …

Robert Greene – Customer Dispute Filed Involving Financial Advisor/Broker Robert Greene | Goodman & Nekvasil P.A. May Recover Investor Losses Robert Greene CRD #1239196 Robert Greene is a currently licensed financial advisor/broker with Wells Fargo Clearing Services LLC. According to Robert Greene’s BrokerCheck report, a customer dispute has been filed alleging sales practice violations against Robert Greene. Customer Dispute 1/12/17: …

Bruce Edward Smith (Bruce Smith) – Customer Dispute Filed Involving Financial Advisor/Broker Gregory Williams | Goodman & Nekvasil, PA May Recover Investor Losses Bruce Edward Smith (Bruce Smith) CRD #2245021 Bruce Smith is a currently licensed financial advisor/broker with Ameriprise Financial Services, Inc. According to Bruce Smith’s BrokerCheck report, a customer dispute has been filed alleging sales practice violations against …

Gregory Jon Williams (Greg Williams) – Customer Disputes Filed Involving Financial Advisor/Broker Gregory Williams Greg Williams CRD # 1561089 Greg Williams is a currently licensed financial advisor/broker with Presidential Brokerage, Inc. According to Greg Williams’ BrokerCheck report, customer disputes have been filed alleging sales practice violations against Greg Williams. Customer Dispute 3/11/19:  Greg Williams was named in a customer complaint …

Randolph McNeill – Financial Advisor/Broker Randolph McNeill Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Randolph McNeill CRD #4312991 Randolph McNeill was a formerly licensed financial advisor with Buckman, Buckman & Reid, Inc. According to Randolph McNeill’s BrokerCheck report, Randolph McNeill was barred from the securities industry in December 2018. According to Randolph McNeill’s BrokerCheck …

James Thomas Walters (James Walters) – Financial Advisor/Broker James Walters Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses James Walters CRD #5943354 James Walters was a formerly licensed financial advisor with Edward Jones. According to James Walters’ BrokerCheck report, James Walters was barred from the securities industry in November 2018. According to FINRA: James Walters …

Zachary Sherry – Financial Advisor/Broker Zachary Sherry Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Zachary Sherry CRD #6567328 Zachary Sherry was a formerly licensed financial advisor with NYLife Securities LLC. According to Zachary Sherry’s BrokerCheck report, Zachary Sherry was barred from the securities industry in November 2018. According to Zachary Sherry’s BrokerCheck Report: Zachary …

Nanotech Engineering – Complaint Filed by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Allegations As set forth below, convicted securities fraudster Michael James Sweaney (“Michael Sweaney”) and the other Defendants are engaged in an ongoing fraudulent offering of the securities of Nanotech Engineering, Inc. (“Nanotech”) Over the last two ,years, the Defendants and …