Jeffrey Lewis Gitterman (Jeffrey Gitterman) – Customer Dispute Filed Involving Financial Advisor/Broker Jeffrey Gitterman | Goodman & Nekvasil, P.A. May Recover Losses on Your GPB Investment Jeffrey Lewis Gitterman (Jeffrey Gitterman) CRD #1910332 Jeffrey Gitterman is a licensed financial advisor with Vanderbilt Securities LLC. Jeffrey Gitterman was previously licensed with Triad Advisors, Inc. According to Jeffrey Gitterman’s BrokerCheck report, a …
James Robert Willing (James Willing) Financial Advisor/Broker James Willing Previously Suspended from Securities Industry
James Robert Willing (James Willing) Financial Advisor/Broker James Willing Previously Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses James Robert Willing (James Willing) Financial Advisor/Broker CRD #468560 James Willing is a currently licensed financial advisor with Moors & Cabot, Inc. James Willing was previously licensed with Morgan Stanley. According to FINRA, James Willing was suspended …
ARO Equity LLC – SEC Charges ARO Equity, LLC with Fraud
ARO Equity LLC – SEC Charges ARO Equity, LLC with Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Complaint: The Securities and Exchange Commission charged MA-based private investment firm ARO Equity, LLC, and its principals, Thomas D. Renison and Timothy J. Allcott, with fraud. As alleged, the defendants made false statements to current and …
Barry David Horowitz (Barry Horowitz) – Customer Dispute Filed Involving Financial Advisor/Broker Barry Horowitz
Barry David Horowitz (Barry Horowitz) – Customer Dispute Filed Involving Financial Advisor/Broker Barry Horowitz | Goodman & Nekvasil, P.A. May Recover Investor Losses Barry David Horowitz (Barry Horowitz) CRD #2651525 Barry Horowitz is a previously licensed financial advisor/broker with Lincoln Financial Securities Corporation. According to Barry Horowitz’ BrokerCheck report, a customer dispute has been filed alleging sales practice violations against …
John Chrysadakis – Financial Advisor/Broker John Chrysadakis Barred from Securities Industry
John Chyrsadakis – Financial Advisor/Broker John Chrysadakis Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses John Chrysadakis CRD #5680661 John Chrysadakis was a formerly licensed financial advisor with Northwestern Mutual Investment Services, LLC. According to John Chrysadakis’ BrokerCheck report, John Chrysadakis was barred from the securities industry in January 2020. According to FINRA: John Chrysadakis …
Dennis Nakamura – Financial Advisor/Broker Dennis Nakamura Barred from Securities Industry
Dennis Nakamura – Financial Advisor/Broker Dennis Nakamura Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Dennis Nakamura CRD #819626 Dennis Nakamura was a formerly licensed financial advisor with McNally Financial Services Corporation. According to Dennis Nakamura’s BrokerCheck report, Dennis Nakamura was barred from the securities industry in November 2019. According to FINRA: Dennis Nakamura consented …
Investor Alert: Steepeners – Did You Lose Money in This Risky Investment?
Steepeners – Did You Lose Money in This Risky Investment? | Goodman & Nekvasil P.A. May Recover Investor Losses A steepener is a type of complex, structured investment product. Essentially, a steepener is an interest rate swap. With a steepener trade, one party (investor) agrees to pay a counterparty a fixed rate in exchange for a floating rate. Essenially, the investor …
Citadel Energy – Former Chairman and Managing Partner Charged by for Role in Ponzi Scheme
Citadel Energy – Former Chairman and Managing Partner Charged by for Role in Ponzi Scheme | Goodman & Nekvasil P.A. May Recover Investor Losses According to the United States Attorney’s Office A federal grand jury indicted Joey Stanton Dodson, chairman and managing partner of an energy company, charging him with crimes related to an alleged $15 million Ponzi scheme involving …
Ronald James Roach (Ron Roach) – Financial Advisor/Broker Ron Roach Barred from Securities Industry
Ronald James Roach (Ron Roach) – Financial Advisor/Broker Ron Roach Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Ronald James Roach (Ron Roach) CRD #: 3216784 Ron Roach was a formerly licensed financial advisor with Securities America, Inc. According to Ron Roach’s BrokerCheck report, Ron Roach was barred from the securities industry in November 2019. …
Bruno Henrique Silva (Bruno Silva): Financial Advisor/Broker Bruno Silva Suspended from Securities Industry
Bruno Henrique Silva (Bruno Silva): Financial Advisor/Broker Bruno Silva Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Bruno Silva CRD #6820531 Bruno Silva was a formerly licensed financial advisor with Worden Capital Management LLC. According to Bruno Silva’s CRD, Bruno Silva was suspended from the securities industry by FINRA for sixteen months and fined $15,000 …