Kenneth Mahoney – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Kenneth Mahoney | Goodman & Nekvasil P.A., May Recover Investor Losses Kenneth Mahoney CRD #1911756 Kenneth Mahoney is a formerly licensed financial advisor/broker with Aurora Capital LLC. According to Kenneth Mahoney’s CRD, a customer dispute has been filed alleging sales practice violations against Kenneth Mahoney. Customer Dispute …

Ramone Knight – Financial Advisor/Broker Ramone Knight Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Ramone Knight CRD #5265446 Ramone Knight was a previously licensed financial advisor with NYLife Securities LLC. According to Ramone Knight’s CRD, Ramone Knight was barred from the securities industry in October 2019. According to FINRA Allegations:   Ramone Knight consented to …

Jefferey Dyra – Financial Advisor/Broker Jefferey Dyra Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Jefferey Dyra CRD #6785909 Jefferey Dyra was a previously licensed financial advisor with Bankers Life Securities, Inc. According to Jefferey Dyra’s CRD, Jefferey Dyra was barred from the securities industry in October 2019. According to FINRA Allegations:   Jefferey Dyra consented …

Donna Pitts – Financial Advisor/Broker Donna Pitts Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Donna Pitts CRD #2708516 Donna Pitts was a formerly licensed broker/financial advisor with RCH Securities. According to Donna Pitts’ CRD, Donna Pitts was barred from the securities industry in October 2019 According to FINRA Allegations: From August 14, 2018 through …

Ramon Herrera – Financial Advisor/Broker Ramon Herrera Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Ramon Herrera CRD #6021170 Ramon Herrera was a formerly licensed broker/financial advisor with Wells Fargo Clearing Services, LLC. According to Ramon Herrera’s CRD, Ramon Herrera was barred from the securities industry in July 2018. According to FINRA Allegations: Ramon Herrera …

Matthew Crafa: Financial Advisor/Broker Matthew Crafa Subject of FINRA Complaint Matthew Crafa CRD #3114277 Matthew Crafa is a currently licensed financial advisor with Royal Alliance Associates, Inc. According to Matthew Crafa’s BrokerCheck report, a customer dispute has been filed alleging sales practice violations against Matthew Crafa. Customer Dispute 4/25/19: Allegations include breach of contract, breach of fiduciary duty and negligence. …

Stuart Nichols – Financial Advisor/Broker Stuart Nichols Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Stuart Nichols CRD #4932310 Stuart Nichols was a previously licensed financial advisor with Raymond James & Associates, Inc. According to Stuart Nichols’ CRD, Stuart Nichols was barred from the securities industry on October 25, 2019. According to FINRA Allegations:   Stuart …

Paul Hadel – Customer Dispute Filed Involving Financial Advisor/Broker Paul Hadel | Goodman & Nekvasil, P.A. May Recover Investor Losses Paul Hadel CRD #1017223 Paul Hadel is a currently licensed financial advisor with Woodbury Financial Services, Inc. According to Paul Hadel’s CRD, a customer dispute has been filed alleging sales practice violations against Paul Hadel. Customer Dispute 9/17/19: It is …

Steven Yellen – Financial Advisor/Broker Steven Yellen Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Steven Yellen CRD #1281663 Steven Yellen was a previously licensed financial advisor with Ameriprise Financial Services, Inc. and Morgan Stanley.   According to FINRA, Steven Yellen was suspended from the securities industry for one year and fined $25,000 in October 2019.  …

Daniel Arcuri – Financial Advisor/Broker Daniel Arcuri Named in FINRA Complaint | Goodman & Nekvasil P.A., May Recover Investor Losses Daniel Arcuri CRD #2200431 Daniel Arcuri was a previously licensed financial advisor with Thrivent Investment Management, Inc. According to FINRA Allegations:    Daniel Arcuri was named a respondent in a FINRA complaint alleging he failed to appear and testify as …