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 …
Gregg Schonhorn – Financial Advisor/Broker Gregg Schonhorn Barred from Securities Industry
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: …