Omar Henry – Financial Advisor/Broker Omar Henry Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses 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 securities industry in December 2018. According to …
Robert Witt – Financial Advisor/Broker Robert Witt Barred from Securities Industry
Robert Witt – Financial Advisor/Broker Robert Witt Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Robert Witt aka Robert Daniel Witt CRD #2926506 Robert Witt was a previously licensed financial advisor with Voya Financial Advisors, Inc. According to Robert Witt’s BrokerCheck report, Robert Witt was barred from the securities industry in January 2019. According to …
Mercer Hicks (Toby Hicks) – Financial Advisor/Broker Mercer Hicks (Toby Hicks) Under Investigation by FINRA
Mercer Hicks (Toby Hicks) – Financial Advisor/Broker Mercer Hicks (Toby Hicks) Under Investigation by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Mercer Hicks (Toby Hicks) CRD #245170 Mercer Hicks is a licensed financial advisor with Southeast Investments, N.C., Inc. Mercer Hicks was a previously licensed financial advisor with Capital Investment Group, Inc. According to Mercer Hicks’ BrokerCheck …
Justin David Williams (Justin Williams) – Financial Advisor/Broker Justin Williams Sanctioned by State of Oregon
Justin David Williams (Justin Williams) – Financial Advisor/Broker Justin Williams Sanctioned by State of Oregon | Goodman & Nekvasil P.A., May Recover Investor Losses Justin David Williams (Justin Williams) CRD #2908426 Justin Williams was a previously licensed financial advisor with Fidelity Brokerage Services LLC. According to Justin Williams’ BrokerCheck report, Justin Williams was sanctioned by the State of Oregon in …
Laurence Geoffrey Allen (Laurence Allen) – Lawsuit Filed by State of New York Against Laurence Allen
Laurence G. Allen – Lawsuit Filed by State of New York | Goodman & Nekvasil P.A. May Recover Investor Losses Laurence Geoffrey Allen (Laurence Allen) CRD #1063970 According to the NY Attorney General Press Release: New York Attorney General Letitia James announced a lawsuit against Laurence G. Allen and the various corporate entities he controls for defrauding investors and misappropriating more …
Bryce Jenney – Financial Advisor/Broker Bryce Jenney Named in FINRA Complaint
Bryce Jenney – Financial Advisor/Broker Bryce Jenney Named in FINRA Complaint | Goodman & Nekvasil P.A., May Recover Investor Losses Bryce Jenney CRD #6207379 Bryce Jenney was a previously licensed financial advisor with Raymond James and Morgan Stanley. According to Bryce Jenney’s BrokerCheck report, Bryce Jenney was named a respondent in a FINRA complaint. According to Bryce Jenney’s BrokerCheck Report: …
Jonathan Schnell – Financial Advisor/Broker Jonathan Schnell Discharged from Firm
Jonathan Schnell – Financial Advisor/Broker Jonathan Schnell Discharged from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses Jonathan Schnell CRD #2821933 Jonathan Schnell was a previously licensed financial advisor with TIAA-Cref & Institutional Services LLC. According to Jonathan Schnell’s BrokerCheck report, Jonathan Schnell was barred discharged from TIAA-Cref. According to Jonathan Schnell’s BrokerCheck Report: Jonathan Schnell was …
John Pronovost – Customer Dispute Filed Involving Financial Advisor/Broker John Pronovost
John Pronovost – Customer Dispute Has Been Filed Involving Financial Advisor/Broker John Pronovost John Pronovost Broker CRD #1990612 Our Firm has learned that John Pronovost may have recommended his clients to invest in LJM Preservation and Growth Fund. LJM Preservation and Growth Fund was allegedly not focused on capital preservation but instead exposed investors to unacceptably high risk of catastrophic …
Capsource, Inc. – Ordered to Cease and Desist by Colorado Division of Securities
Capsource, Inc. – Ordered to Cease and Desist by Colorado Division of Securities | Goodman & Nekvasil P.A. May Recover Investor Losses According to the Colorado Division of Securities: Acting Colorado Securities Commissioner David Cheval has signed an order against Nevada-based CapSource, Inc. (“CapSource”) and listed control person Steven J. Byrne. The order directs Byrne and CapSource to immediately cease …
Carl Gene Noble (Carl Noble) – Goodman & Nekvasil Has Filed an Arbitration Claim Against Financial Advisor/Broker Carl Gene Noble’s (Carl Noble) Employer, Horter Investment Management, LLC
Carl Gene Noble (Carl Noble) – Our Firm has Filed an Arbitration Claim Against Financial Advisor/Broker Carl Gene Noble’s (Carl Noble) Employer, Horter Investment Management, LLC Carl Gene Noble (Carl Noble) CRD #1346632 Carl Gene Noble has been employed with Horter Investment Management, LLC since 2013. Goodman & Nekvasil, P.A. has filed an arbitration claim against Carl Gene Noble’s employer, …