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 …
Gregory Jon Williams (Greg Williams) – Customer Disputes Filed Involving Financial Advisor/Broker Gregory Williams
Gregory Jon Williams (Greg Williams) – Customer Disputes Filed Involving Financial Advisor/Broker Gregory Williams Greg Williams CRD # 1561089 Greg Williams is a currently licensed financial advisor/broker with Presidential Brokerage, Inc. According to Greg Williams’ BrokerCheck report, customer disputes have been filed alleging sales practice violations against Greg Williams. Customer Dispute 3/11/19: Greg Williams was named in a customer complaint …