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 …
Hal Mandell – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Hal Mandell
Hal Mandell – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Hal Mandell | Goodman & Nekvasil P.A., May Recover Investor Losses Hal Mandell CRD #862235 Hal Mandell is a formerly licensed financial advisor/broker with M.E. Allison & Co., Inc. Hal Mandell was previously licensed with NEXT Financial Group, Inc. and Sigma Financial Corporation. According to Hal Mandell’s …
Michael Collins – Financial Advisor/Broker Michael Collins Suspended from Securities Industry
Michael Collins – Financial Advisor/Broker Michael Collins Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Collins CRD #2915653 Michael Collins was a previously licensed financial advisor with Kingsbury Capital, Inc. According to Michael Collins’ CRD, Michael Collins was suspended from the securities industry for five months and fined $10,000 in November 2019. According to …
Joseph Viet Duy Phan – Financial Advisor/Broker Joseph Viet Duy Phan Barred from Securities Industry
Joseph Viet Duy Phan – Financial Advisor/Broker Joseph Viet Duy Phan Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Joseph Viet Duy Phan CRD #2555300 Joseph Viet Duy Phan was a previously licensed financial advisor with Pruco Securities, LLC. According to Joseph Viet Duy Phan’s CRD, Joseph Viet Duy Phan was barred from the securities …
Gerald Eaton – Financial Advisor/Broker Gerald Eaton Barred from Securities Industry
Gerald Eaton – Financial Advisor/Broker Gerald Eaton Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Gerald Eaton CRD #2279093 Gerald Eaton was a previously licensed financial advisor with Commonwealth Financial Network. According to Gerald Eaton’s CRD, Gerald Eaton was barred from the securities industry in November 2019. According to FINRA Allegations: Gerald Eaton consented to …
Alex Lycouris – Financial Advisor/Broker Alex Lycouris Suspended from Securities Industry
Alex Lycouris – Financial Advisor/Broker Alex Lycouris Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Alexander Lycouris CRD #6422905 Alexander Lycouris was a previously licensed financial advisor with MML Investors Services, LLC. According to Alexander Lycouris’ CRD, Alexander Lycouris was suspended from the securities industry for seven months. According to FINRA Allegations: Alexander Lycouris …