Abraham Kauffman – Financial Advisor/Broker Abraham Kauffman Agrees to Pay Restitution to Victim | Goodman & Nekvasil P.A., May Recover Investor Losses Abraham Kauffman CRD #6317977 Abraham Kauffman was a formerly licensed financial advisor with Pruco Securities, LLC. According to FINRA, Abraham Kauffman agreed to pay restitution in the amount of $96,598 to the State of Maine for the benefit …
National Law Enforcement Museum Allegedly Defaulted on Payment
National Law Enforcement Museum Allegedly Defaulted on Payment | Goodman & Nekvasil P.A. May Recover Investor Losses According to Bloomberg: The National Law Enforcement Museum defaulted on a Jan. 1 payment due on some of the $103 million of bonds that financed its Washington, D.C., facilities near the Smithsonian, just months after it opened in October. It attributed the lapse …
Ben Lowder – Financial Advisor/Broker Ben Lowder Barred from Securities Industry
Ben Lowder – Financial Advisor/Broker Ben Lowder Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Ben Lowder CRD #3014106 Ben Lowder was a formerly licensed financial advisor with MSI Financial Services, Inc. According to FINRA, Ben Lowder was barred from the securities industry in October 2019. According to FINRA Allegations: Ben Lowder consented to the sanctions …
Cristina Sabengsy – Financial Advisor/Broker Cristina Sabengsy Barred from Securities Industry
Cristina Sabengsy – Financial Advisor/Broker Cristina Sabengsy Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Cristina Sabengsy CRD #6304970 Cristina Sabengsy was a formerly licensed financial advisor with NYLife Securities LLC. According to FINRA, Cristina Sabengsy was barred from the securities industry in October 2019. According to FINRA Allegations: FINRA Rule 2010 requires registered representatives …
John Phillips – Customer Disputes Filed Involving Financial Advisor/Broker John Phillips
John Phillips – Customer Disputes Filed Involving Financial Advisor/Broker John Phillips | Goodman & Nekvasil, P.A. May Recover Investor Losses John Phillips CRD #2796242 John Phillips was a previously licensed financial advisor with Metlife Securities, Inc. According to John Phillips’ CRD, customer disputes have been filed alleging sales practice violations against John Phillips. Customer Dispute 7/1/19: Plaintiffs alleged Unfair and …
Yellowstone Partners LLC – SEC Files Complaint
Yellowstone Partners LLC – SEC Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Allegations From at least 2008 through June 30, 2017 (the “Relevant Period”), Hansen, the former Chief Executive Officer (“CEO”) of then-Commission-registered investment adviser, Yellowstone, caused Yellowstone to overbill investment advisory clients as part of a fraudulent scheme to inflate Defendants’ …
Brian Parker – Financial Advisor/Broker Brian Parker Suspended from Securities Industry
Brian Parker – Financial Advisor/Broker Brian Parker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Brian Parker CRD #2161106 Brian Parker was a formerly licensed financial advisor with USA Financial Securities Corporation. Brian Parker was previously licensed with MML Investors Services, LLC. According to FINRA, Brian Parker was suspended from the securities industry for …
Robert Wamhoff – Customer Disputes Filed Involving Financial Advisor/Broker Robert Wamhoff
Robert Wamhoff – Customer Disputes Filed Involving Financial Advisor/Broker Robert Wamhoff | Goodman & Nekvasil, PA May Recover Investor Losses Robert Wamhoff CRD #2082701 Robert Wamhoff was a previously license financial advisor with Calton & Associates, Inc. and VSR Financial Services, Inc. According to Robert Wamhoff’s CRD, customer disputes have been filed alleging sales practice violations against Robert Wamhoff. Customer …
Bradley Reifler – Financial Advisor/Broker Bradley Reifler Barred from Securities Industry
Bradley Reifler – Financial Advisor/Broker Bradley Reifler Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Bradley Reifler CRD #1589414 Bradley Reifler is was a formerly licensed financial advisor with Wilmington Capital Securities, LLC and Forefront Capital Markets LLC. According to FINRA, Bradley Reifler was barred from the securities industry. According to FINRA: Bradley Reifler …
Michael Bush – Financial Advisor/Broker Michael Bush May Have Sold Future Income Payments
Goodman & Nekvasil P.A. May Recover Investor Losses on Future Income Payments, LLC | Michael Bush – Financial Advisor/Broker Michael Bush May Have Sold Future Income Payments Michael Bush aka Mike Bush CRD # 1580389 Michael Bush was licensed with Liberty Partners Financial Services, LLC from 2011 until 2016. Goodman & Nekvasil, P.A. has been contacted by an individual who purchased …