John Hoagland – Financial Advisor/Broker John Hoagland Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses John Hoagland CRD #6492106 John Hoagland is a licensed financial advisor with Thrivent Investment Management, Inc. According to John Hoagland’s CRD, John Hoagland was suspended from the securities industry in October 2019. According to FINRA Allegations: In September and October …
Timothy Millis – Financial Advisor/Broker Timothy Millis Suspended from Securities Industry
Timothy Millis – Financial Advisor/Broker Timothy Millis Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Timothy Millis CRD #706959 Timothy Millis was a previously licensed financial advisor with NYLife Securities LLC. According to Timothy Millis’ CRD, Timothy Millis was suspended from the securities industry in October 2019. According to FINRA Allegations: Between January 2015 and …
Greg Voetsch – Financial Advisor/Broker Greg Voetsch Barred from Securities Industry
Greg Voetsch – Financial Advisor/Broker Greg Voetsch Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Greg Voetsch CRD #1223244 Greg Voetsch was a previously licensed financial advisor with Cowen Execution Services LLC, G-Trade Services LLC and Janney Montgomery Scott LLC. According to Greg Voetsch’s CRD, Greg Voetsch was barred from the securities industry in November …
Marosa Linan Abrego – Financial Advisor/Broker Marosa Linan Abrego Barred from Securities Industry
Marosa Linan Abrego – Financial Advisor/Broker Marosa Linan Abrego Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Marosa Linan Abrego CRD #6122105 Marosa Linan Abrego was a previously licensed financial advisor with Merrill Lynch. According to Marosa Linan Abrego’s CRD, Marosa Linan Abrego was barred from the securities industry in November 2019. According to FINRA …
Daniel Boyle – Financial Advisor/Broker Daniel Boyle Barred from Securities Industry
Daniel Boyle – Financial Advisor/Broker Daniel Boyle Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Daniel Boyle CRD #5980470 Daniel Boyle was a previously licensed financial advisor with Drexel Hamilton, LLC. According to Daniel Boyle’s CRD, Daniel Boyle was barred from the securities industry in November 2019. According to FINRA Allegations: Daniel Boyle consented to …
Sheldon Harber – Financial Advisor/Broker Sheldon Harber Previously Suspended from Securities Industry
Sheldon Harber – Financial Advisor/Broker Sheldon Harber Previously Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Sheldon Harber Financial Advisor/Broker CRD #867340 Sheldon Harber was a formerly licensed financial advisor with Geneos Wealth Management, Inc. and Cambridge Investment Research, Inc. According to FINRA, Sheldon Harber was suspended from the securities industry for four months and …
Kevin Fretz – Financial Advisor/Broker Kevin Fretz Discharged by LPL Financial LLC
Kevin Charles Fretz (Kevin Fretz) – Financial Advisor/Broker Kevin Fretz Discharged from LPL Financial LLC | Goodman & Nekvasil P.A., May Recover Investor Losses Kevin Charles Fretz (Kevin Fretz) Financial Advisor/Broker CRD #4128808 Kevin Fretz was a previously licensed financial advisor/broker with LPL Financial LLC. According to Kevin Fretz’ BrokerCheck Report, Kevin Fretz was discharged from LPL Financial LLC in …
Christopher Kozak – Financial Advisor/Broker Christopher Kozak Under Investigation by FINRA
Christopher Kozak – Financial Advisor/Broker Christopher Kozak Under Investigation by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Christopher Kozak CRD #5530806 Christopher Kozak was a formerly licensed financial advisor with Cetera Advisors LLC. According to FINRA Allegations: The December 12, 2018 Wells Notice letter identifies potential violations including, violation of NASD Rule 3040 and FINRA Rules 3280 …
Elizabeth Guarino – Financial Advisor/Broker Elizabeth Guarino Suspended from Securities Industry
Elizabeth Guarino – Financial Advisor/Broker Elizabeth Guarino Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Elizabeth Guarino CRD #1264531 Elizabeth Guarino was a formerly licensed financial advisor with Wells Fargo Clearing Services, LLC. According to FINRA, Elizabeth Guarino was suspended from the securities industry for 15 months and fined $10,000 in November 2019. According to …
Brendan Flick – Financial Advisor/Broker Brendan Flick Suspended from Securities Industry
Brendan Flick – Financial Advisor/Broker Brendan Flick Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Brendan Flick CRD #6130327 Brendan Flick was a formerly licensed financial advisor with Raymond James Financial Services, Inc. and CSSC Brokerage Services, Inc. According to FINRA, Brendan Flick was suspended from the securities industry for three months and fined $5,000 …