Adrianna Harris – Financial Advisor/Broker Adrianna Harris Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Adrianna Harris CRD #6865538 Adrianna Harris was a previously licensed financial advisor with Charles Schwab. According to Adrianna Harris’ CRD, Adrianna Harris was barred from the securities industry in August 2019. According to FINRA Allegations: Adrianna Harris failed to respond …
Audrey Hose – Financial Advisor/Broker Audrey Hose Barred from Securities Industry
Audrey Hose – Financial Advisor/Broker Audrey Hose Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Audrey Hose CRD #6283761 Audrey Hose was a previously licensed financial advisor with UBS Financial Services, Inc. According to Audrey Hose’s CRD, Audrey Hose was barred from the securities industry in August 2019. According to FINRA Allegations: Audrey Hose failed …
Raymond Montchal – Financial Advisor/Broker Raymond Montchal Barred from Securities Industry
Raymond Montchal – Financial Advisor/Broker Raymond Montchal Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Raymond Montchal CRD #864457 Raymond Montchal was a previously licensed financial advisor with Morgan Stanley and Citigroup Global Markets Inc. According to Raymond Montchal’s CRD, Raymond Montchal was barred from the securities industry in August 2019. According to FINRA Allegations: …
Robert Neuendorf – Financial Advisor/Broker Robert Neuendorf Barred from Securities Industry
Robert Neuendorf – Financial Advisor/Broker Robert Neuendorf Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Robert Neuendorf CRD #5769532 Robert Neuendorf was a previously licensed financial advisor with David Lerner Associates, Inc., Merrill Lynch, AXA Advisors LLC and Wilmington Capital Securities, LLC. According to Robert Neuendorf’s CRD, Robert Neuendorf was barred from the securities industry …
Charles “Chip” Wernig – Financial Advisor/Broker Charles “Chip” Wernig Barred from Securities Industry
Charles “Chip” Wernig – Financial Advisor/Broker Charles “Chip” Wernig Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Charles Wernig aka Chip Wernig CRD #4305235 Chip Wernig was a previously licensed financial advisor with Voya Financial Advisors, Inc. and Kestra Investment Services, LLC. According to Chip Wernig’s CRD, Chip Wernig was barred from the securities industry …
Sean Zhang – Financial Advisor/Broker Sean Zhang Barred from Securities Industry
Sean Zhang – Financial Advisor/Broker Sean Zhang Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Sean Zhang a/k/a Xiangyu Yu Zhang CRD #5050282 Sean Zhang a/k/a Xiangyu Yu Zhang was a previously licensed financial advisor with Wells Fargo Clearing Services, LLC, LPL Financial LLC and Cetera Investment Services LLC. According to Sean Zhang’s CRD, Sean …
Gary Pevey Formerly of Mutual Securities, Inc. Sold Fraudulent Investment
Gary Pevey/Gary L. Pevey Formerly of Mutual Securities, Inc. Sold Fraudulent Investment | Goodman & Nekvasil P.A. Files Arbitration Claim on Woodbridge Mortgage Investment Fund Gary Pevey CRD #2129469 Gary Pevey was licensed with Mutual Securities, Inc. from 2011 until Gary Pevey’s firing in 2018. Goodman & Nekvasil, P.A. has learned that Gary Pevey sold the fraudulent Woodbridge Mortgage Investment Fund and …
Jim Lamont – Financial Advisor/Broker Jim Lamont Suspended from Securities Industry
Jim Lamont – Financial Advisor/Broker Jim Lamont Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses on Woodbridge Mortgage Investment Funds Jim Lamont CRD #2846228 Jim Lamont has been licensed with Whitehall-Parker Securities, Inc. since 2015. Jim Lamont was previously licensed with Independent Financial Group, LLC. Goodman & Nekvasil, P.A. is investigating the possible involvement of Jim Lamont …
Dean Grant – Financial Advisor/Broker Dean Grant Barred from Securities Industry
Dean Grant – Financial Advisor/Broker Dean Grant Barred from Securities Industry Dean Grant, CRD #1945209 Dean Grant was licensed with M Holdings Securities, Inc. from 2014 to 2019. According to the State of Georgia, Dean Grant is the founder and managing partner of GFG Strategic Advisors in Milledgeville, Georgia. According to FINRA, Dean Grant was barred from the securities industry …
Robert Genito – Financial Advisor/Broker Robert Genito Barred from Securities Industry
Robert Genito – Financial Advisor/Broker Robert Genito Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Robert Genito CRD #4760338 Robert Genito was a previously licensed financial advisor with PFS Investments, Inc. According to Robert Genito’s CRD, Robert Genito was barred from the securities industry in November 2019. According to FINRA Allegations: Robert Genito refused to …