Cecil Allen Ross (Cecil Ross) – Financial Advisor/Broker Cecil Ross Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Cecil Ross CRD #2391047 Cecil Ross was a formerly licensed financial advisor with LPL Financial LLC. Cecil Ross is currently licensed with International Assets Advisory, LLC. FINRA reports that Cecil Ross was fined $5,000 and suspended from …
Sharon Zhang – Financial Advisor/Broker Sharon Zhang Previously Suspended from Securities Industry
Sharon Zhang – Financial Advisor/Broker Sharon Zhang Previously Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Sharon Zhang aka Mengxuan Zhang CRD #6548853 Sharon Zhang was a formerly licensed financial advisor with Cetera Investment Services LLC. FINRA reports that Sharon Zhang was previously fined $5,000 and suspended from the securities industry for one month in …
Albert Foronda – Financial Advisor/Broker Albert Foronda Under Investigation by FINRA
Albert Foronda – Financial Advisor/Broker Albert Foronda Under Investigation by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Albert Foronda CRD #5737620 Albert Foronda is a licensed financial advisor with Spartan Capital Securities LLC. Albert Foronda was a previously licensed financial advisor with Worden Capital Management LLC. According to Albert Foronda’s BrokerCheck report, Albert Foronda is under investigation …
Anthony Wayne March (Anthony March) – Investment Adviser Anthony Wayne March Charged with Securities Fraud
Anthony Wayne March (Anthony March) – Investment Adviser Anthony Wayne March Charged with Securities Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses According to the United States Attorney’s Office: United States Attorney Robert J. Higdon, Jr. announced that a federal grand jury has returned an Indictment charging ANTHONY WAYNE MARCH, 48, of Wake Forest, North Carolina, with one count of …
Stephen Douglas Fry (Steve Fry) – Memphis Financial Advisor Stephen Douglas Fry Pleads Guilty to Fraud Charges
Stephen Douglas Fry (Steve Fry) – Memphis Financial Advisor Stephen Douglas Fry Pleads Guilty to Fraud Charges | Goodman & Nekvasil P.A. May Recover Investor Losses Stephen Douglas Fry (Steve Fry) CRD #2928258 According to the United States Attorney’s Office: Stephen Douglas Fry, 72, a Memphis-area financial advisor, pled guilty to a three-count information charging him with mail and wire fraud …
Omar Henry – Financial Advisor/Broker Omar Henry Barred from Securities Industry
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 …