Gregg Schonhorn – Financial Advisor/Broker Gregg Schonhorn Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Gregg Schonhorn CRD #2400042 Gregg Schonhorn was a formerly licensed financial advisor with FTN Financial Securities Corp. According to Gregg Schonhorn’s BrokerCheck report, Gregg Schonhorn was barred from the securities industry in March 2018. According to Gregg Schonhorn’s BrokerCheck Report: …
Deborah Dickson Kelley (Debbie Kelley) – Financial Advisor/Broker Debbie Kelley Barred from Securities Industry
Deborah Dickson Kelley (Debbie Kelley) – Financial Advisor/Broker Debbie Kelley Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Debbie Kelley CRD #: 1179082 Debbie Kelley was a formerly licensed financial advisor with Seaport Global Securities, Stifel, Nicolaus & Company and Sterne, Agee & Leach, Inc. According to Debbie Kelley’s BrokerCheck report, Debbie Kelley was barred …
John Joseph Cahill (John Cahill) – Financial Advisor/Broker John Cahill Discharged from Janney Montgomery Scott LLC
John Joseph Cahill (John Cahill) – Financial Advisor/Broker John Cahill Discharged from Janney Montgomery Scott LLC | Goodman & Nekvasil P.A., May Recover Investor Losses John Joseph Cahill (John Cahill) Financial Advisor/Broker CRD #1240551 John Cahill was a formerly licensed financial advisor with Janney Montgomery Scott LLC. According to John Cahill’s BrokerCheck Report, John Cahill was discharged from Janney Montgomery …
Christopher Anthony Fernan (Christopher Fernan) – Customer Disputes Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Christopher Fernan
Christopher Anthony Fernan (Christopher Fernan) – Customer Disputes Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Christopher Fernan | Goodman & Nekvasil P.A., May Recover Investor Losses Christopher Anthony Fernan (Christopher Fernan) CRD #5896584 Christopher Fernan is a formerly licensed financial advisor with Salomon Whitney Financial and Rockwell Global Capital LLC. According to Christopher Fernan’s BrokerCheck Report, two customer disputes …
Michael Robert Boswell (Michael Boswell) – Customer Disputes Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Michael Boswell
Michael Robert Boswell (Michael Boswell) – Customer Disputes Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Michael Boswell | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Boswell CRD #5292563 Michael Boswell is a formerly licensed financial advisor with Tripoint Global Equities/Banq®. According to Michael Boswell’s CRD, two customer disputes have been filed alleging sales practice violations against Michael …
Robert Scott Nathan (Robert Nathan) – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Robert Nathan
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
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
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
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
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 …