Peter Vaillancourt – Financial Advisor/Broker Peter Vaillancourt Jr. Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Peter Vaillancourt Jr. aka Peter Clarence Vaillancourt CRD #6033087 Peter Vaillancourt was a previously licensed financial advisor with Fidelity Brokerage Services LLC. According to Peter Vaillancourt’s BrokerCheck report, Peter Vaillancourt was barred from the securities industry in December 2018. …

Justin Alan Simon – Financial Advisor/Broker Justin Alan Simon Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Justin Alan Simon CRD #6138143 Justin Simon was a formerly licensed broker/financial advisor with NYLife Securities LLC and Country Capital Management Company.  According to Justin Simon’s BrokerCheck report, Justin Simon was barred from the securities industry in December …

Jeffrey Paul Davis – Financial Advisor/Broker Jeffrey Paul Davis Previously Suspended from Securities Industry Jeffrey Paul Davis CRD #2501354 Jeffrey Davis is a currently licensed financial advisor with Kovack Securities, Inc. According to Jeffrey Davis’ CRD, Jeffrey Davis was suspended from the securities industry for one month in May 2017.   According to Allegations on Jeffrey Davis’ BrokerCheck Report: Jeffrey Davis …

Financial Advisor Timothy Atyeo | Customer Dispute Filed Involving Financial Advisor Timothy Atyeo Timothy Atyeo CRD #1544728 Timothy Atyeo is a currently licensed financial advisor/broker with Oppenheimer & Co. Inc. According to Timothy Atyeo’s CRD, a customer dispute has been filed alleging sales practice violations against Timothy Atyeo. Customer Dispute 7/1/19: Allegations include negligence, breach of fiduciary duty, misrepresentation and …

Anthony Joslin – A Customer Dispute Has Been Filed Involving Financial Advisor/Broker Anthony Joslin Anthony Joslin CRD #2281191 Anthony Joslin is a currently licensed financial advisor with Garden State Securities, Inc. According to Anthony Joslin’s CRD, a customer dispute has been filed alleging sales practice violations against Anthony Joslin. Customer Dispute 6/25/19: Allegations include negligence, breach of contract, breach of …

Mark Elenowitz – Financial Advisor/Broker Mark Elenowitz Under Investigation by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Mark Elenowitz CRD #2057802 Mark Elenowitz is a currently licensed financial advisor with Tripoint Global Equities/Banq(R). According to Mark Elenowitz’ BrokerCheck Report, Mark Elenowitz is under investigation by FINRA. According to FINRA Brokercheck: FINRA staff made a preliminary determination to …

James Paquette – Financial Advisor/Broker James Paquette Named in FINRA Complaint | Goodman & Nekvasil P.A., May Recover Investor Losses James Paquette CRD #2164109 James Paquette was a formerly licensed broker/financial advisor with Vestech Securities, Inc., IBN Financial Services, Inc. and Investacorp, Inc. According to James Paquette’s BrokerCheck Report, James Paquette was named a respondent in a February 2019 FINRA …

Joe Medrano – Financial Advisor/Broker Joe Medrano Ordered to Cease and Desist by State of Colorado | Goodman & Nekvasil P.A., May Recover Investor Losses Joe Medrano CRD #1393377 Joe Medrano was a previously licensed financial advisor with LPL Financial LLC. According to Joe Medrano’s BrokerCheck Report, Joe Medrano was ordered to cease and desist by the State of Colorado …

Jerry Lou Guttman (Jerry Guttman) Fired by United Planners Financial Services of America A Limited Partner and Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses From 2001 until Jerry Guttman’s firing in 2017, Jerry Guttman worked for United Planners Financial Services of America. According to FINRA’s records, Jerry Guttman was fired by United Planners Financial …

Investor Alert! Daryl Serizawa – Financial Advisor/Broker Daryl Serizawa Sold the High-Risk Investment, GPB Capital | Goodman & Nekvasil, P.A. Has Filed an Arbitration Claim Against Woodbury Financial Services, Inc. Daryl Serizawa CRD #2293939 Daryl Serizawa is a licensed financial advisor with Woodbury Financial Services, Inc. Daryl Serizawa was previously licensed with Independent Financial Group, LLC. Goodman & Nekvasil, P.A. …