Jonathan Schnell – Financial Advisor/Broker Jonathan Schnell Discharged from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses Jonathan Schnell CRD #2821933 Jonathan Schnell was a previously licensed financial advisor with TIAA-Cref & Institutional Services LLC. According to Jonathan Schnell’s BrokerCheck report, Jonathan Schnell was barred discharged from TIAA-Cref. According to Jonathan Schnell’s BrokerCheck Report: Jonathan Schnell was …
John Pronovost – Customer Dispute Filed Involving Financial Advisor/Broker John Pronovost
John Pronovost – Customer Dispute Has Been Filed Involving Financial Advisor/Broker John Pronovost John Pronovost Broker CRD #1990612 Our Firm has learned that John Pronovost may have recommended his clients to invest in LJM Preservation and Growth Fund. LJM Preservation and Growth Fund was allegedly not focused on capital preservation but instead exposed investors to unacceptably high risk of catastrophic …
Capsource, Inc. – Ordered to Cease and Desist by Colorado Division of Securities
Capsource, Inc. – Ordered to Cease and Desist by Colorado Division of Securities | Goodman & Nekvasil P.A. May Recover Investor Losses According to the Colorado Division of Securities: Acting Colorado Securities Commissioner David Cheval has signed an order against Nevada-based CapSource, Inc. (“CapSource”) and listed control person Steven J. Byrne. The order directs Byrne and CapSource to immediately cease …
Carl Gene Noble (Carl Noble) – Goodman & Nekvasil Has Filed an Arbitration Claim Against Financial Advisor/Broker Carl Gene Noble’s (Carl Noble) Employer, Horter Investment Management, LLC
Carl Gene Noble (Carl Noble) – Our Firm has Filed an Arbitration Claim Against Financial Advisor/Broker Carl Gene Noble’s (Carl Noble) Employer, Horter Investment Management, LLC Carl Gene Noble (Carl Noble) CRD #1346632 Carl Gene Noble has been employed with Horter Investment Management, LLC since 2013. Goodman & Nekvasil, P.A. has filed an arbitration claim against Carl Gene Noble’s employer, …
Arni Diamond – Financial Advisor/Broker Arni Diamond Sold the High-Risk Investment, GPB Capital
Arni Diamond – Financial Advisor/Broker Arni Diamond Sold the High-Risk Investment, GPB Capital | Goodman & Nekvasil, P.A. Has Filed an Arbitration Claim Against Kalos Capital, Inc. Arni Diamond CRD #2667392 Arni Diamond is a licensed financial advisor with Dempsey Lord Smith, LLC. Arni Diamond was previously licensed with Kalos Capital, Inc. Goodman & Nekvasil, P.A. has filed an arbitration …
Robert Wesley Turley – Financial Advisor/Broker Robert Wesley Turley Sold the High-Risk Investment, American Realty Capital Trust
Investor Alert! Robert Wesley Turley – Financial Advisor/Broker Robert Wesley Turley Sold the High-Risk Investment, American Realty Capital Trust | Goodman & Nekvasil, P.A. Has Filed an Arbitration Claim Against Independent Financial Group, LLC Robert Wesley Turley CRD# 1519293 Robert Wesley Turley has been a licensed financial advisor with Independent Financial Group, LLC since 2005. Goodman & Nekvasil, P.A. has …
Jerry Angel – Financial Advisor/Broker Jerry Angel Sold the High-Risk Investment, American Realty Capital Trust V
Investor Alert! Jerry Angel – Financial Advisor/Broker Jerry Angel Sold the High-Risk Investment, American Realty Capital Trust V | Goodman & Nekvasil, P.A. Has Filed an Arbitration Claim Against Transamerica Financial Advisors, Inc. Jerry Angel CRD# 1466898 Jerry Angel was a formerly licensed financial advisor with Transamerica Financial Advisors, Inc. Goodman & Nekvasil, P.A. has filed an arbitration claim on …
Anukul Dass – Financial Advisor/Broker Anukul Dass Barred from Securities Industry
Anukul Dass – Financial Advisor/Broker Anukul Dass Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Anukul Dass CRD #4590390 Anukul Das was a previously licensed financial advisor with NYLife Securities LLC. According to Anukul Dass’ BrokerCheck report, Anukul Dass was barred from the securities industry in January 2019. According to FINRA Allegations: Anukul Dass failed …
Kenneth Barroga – Customer Dispute Filed Involving Financial Advisor/Broker Kenneth Barroga
Kenneth Barroga – Customer Dispute Filed Involving Financial Advisor/Broker Kenneth Barroga | Goodman & Nekvasil P.A., May Recover Investor Losses Kenneth Barroga CRD #2288752 Kenneth Barroga has been licensed with Crown Capital Securities, LP since 2011. According to Kenneth Barroga’s BrokerCheck report, a customer dispute has been filed alleging sales practice violations against Kenneth Barroga. Customer Dispute 11/28/18: Claimant alleged …
Christopher Simonds – Financial Advisor/Broker Christopher Simonds Barred from Securities Industry
Christopher Simonds – Financial Advisor/Broker Christopher Simonds Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Christopher Simonds CRD #6636374 Christopher Simonds was a previously licensed financial advisor with Edward Jones. According to Christopher Simonds’s BrokerCheck report, Christopher Simonds was barred from the securities industry in November 2018. According to FINRA Allegations: Christopher Simonds failed to …