Greg McKinney – Financial Advisor/Broker Greg McKinney Investigated by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Greg McKinney CRD #2100850 Greg McKinney was a previously licensed financial advisor with Cetera Advisors LLC. According to Greg McKinney’s CRD, Greg McKinney was investigated by FINRA. According to Allegations from FINRA: FINRA made a preliminary determination to recommend that disciplinary …
Elton Normon – Financial Advisor/Broker Elton Normon Barred from Securities Industry | Recover Losses
Elton Normon – Financial Advisor/Broker Elton Normon Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Elton Normon CRD #6402086 Elton Normon was a previously licensed financial advisor with First Command Financial Planning, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to Elton Normon’s CRD, Elton Normon was barred from the securities industry in …
Tom Phillips – Financial Advisor/Broker Tom Phillips Fined by State of Oklahoma
Tom Phillips – Financial Advisor/Broker Tom Phillips Fined by State of Oklahoma | Goodman & Nekvasil P.A., May Recover Investor Losses Tom Phillips CRD #843039 Tom Phillips is a licensed financial advisor with T.S. Phillips Investments, Inc. According to Tom Phillips’ CRD, Tom Phillips was fined by the State of Oklahoma. According to Allegations from the State of Oklahoma: …
Dain Stokes – Financial Advisor/Broker Dain Stokes Suspended by State of New Hampshire
Dain Stokes – Financial Advisor/Broker Dain Stokes Suspended by State of New Hampshire | Goodman & Nekvasil P.A., May Recover Investor Losses Dain Stokes CRD #2960801 Dain Stokes was a previously licensed financial advisor with LPL Financial LLC. According to Dain Stokes’ CRD, Dain Stokes was suspended and fined by the State of New Hampshire in August 2019. According …
Albert Harkless – Financial Advisor/Broker Albert Harkless Barred and Fined by State of Maryland
Albert Harkless – Financial Advisor/Broker Albert Harkless Barred and Fined by State of Maryland | Goodman & Nekvasil P.A., May Recover Investor Losses Albert Harkless CRD #2782039 Albert Harkless was a previously licensed financial advisor with PFS Investments, Inc. According to FINRA, Albert Harkless was barred and fined by the State of Maryland and fined $15,000 in August 2019. According …
Michael Siva – Financial Advisor/Broker Michael Siva Barred from Securities Industry
Michael Siva – Financial Advisor/Broker Michael Siva Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Siva CRD #1751280 Michael Siva was a previously licensed financial advisor with Morgan Stanley. Inc. According to FINRA, Michael Siva was barred from the securities industry in September 2019. According to the SEC Allegations: On September 23, 2019, …
Mark Cramer – Financial Advisor/Broker Mark Cramer Suspended from Securities Industry
Mark Cramer – Financial Advisor/Broker Mark Cramer Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Mark Cramer CRD #1313587 Mark Cramer is a currently licensed financial advisor with MML Investors Services LLC. Mark Cramer was previously licensed with MSI Financial Services, Inc. According to FINRA, Mark Cramer was suspended from the securities industry for two …
Maureen Scalzo – Financial Advisor/Broker Maureen Scalzo Barred from Securities Industry
Maureen Scalzo – Financial Advisor/Broker Maureen Scalzo Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Maureen Scalzo CRD #1349675 Maureen Scalzo was a previously licensed financial advisor with Benjamin F. Edwards & Company, Inc. and Wells Fargo Advisors LLC. According to FINRA, Maureen Scalzo was barred from the securities industry in September 2019. According to …
Michael D’Aquila – Financial Advisor/Broker Michael D’Aquila Barred from Securities Industry
Michael D’Aquila – Financial Advisor/Broker Michael D’Aquila Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Michael D’Aquila CRD #6541088 Michael D’Aquila was a formerly licensed financial advisor with Merrill Lynch. According to FINRA, Michael D’Aquila was barred from the securities industry in October 2019. According to FINRA Allegations: Michael D’Aquila refused to appear for testimony …
Richard Brown – SEC Charged Richard Brown with Fraud
Richard Brown – SEC Charged Richard Brown with Fraud | Goodman & Nekvasil P.A., May Recover Investor Losses Richard Brown CRD #3245291 Richard Brown was a formerly licensed financial advisor with Arive Capital Markets and Chelsea Financial Services. According to FINRA, Richard Brown agreed to pay restitution in the amount of $96,598 to the State of Maine for the benefit …