Lawrence E Hagedorn (Lawrence Hagedorn) Financial Advisor/Broker Lawrence Hagedorn Charged with Theft by Deception | Goodman & Nekvasil, P.A. May Recover Investor Losses Lawrence E Hagedorn (Lawrence Hagedorn) CRD #1794077 According to Lawrence Hagedorn’s BrokerCheck Report: Lawrence Hagedorn was a previously licensed financial advisor/broker with The O.N. Equity Sales Company. According to Lawrence Hagedorn’s BrokerCheck report, Lawrence Hagedorn was barred …
Marty Batstone – Financial Advisor/Broker Marty Batstone Investigated by FINRA
Marty Batstone – Financial Advisor/Broker Marty Batstone Investigated by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Marty Batstone CRD #4299561 Marty Batstone was a formerly licensed financial advisor with Newbridge Securities Corporation, Crown Capital Securities LP and Independent Financial Group LLC. According to FINRA: Wells Notice examination #20190612052: FINRA made a preliminary determination to recommend that …
Stephen Robert Williams – Financial Advisor/Broker Stephen Robert Williams Barred from Securities Industry
Stephen Robert Williams – Financial Advisor/Broker Stephen Robert Williams Barred from Securities Industry Stephen Robert Williams CRD #4299561 Stephen Robert Williams was a formerly licensed financial advisor with LPL Financial LLC. According to FINRA, Stephen Robert Williams was barred from the securities industry in November 2018. According to FINRA: Stephen Robert Williams failed to respond to FINRA request …
William Schumann – Customer Disputes Filed Involving Financial Advisor/Broker William Schumann
William Schumann – Customer Disputes Filed Involving Financial Advisor/Broker William Schumann | Goodman & Nekvasil, P.A. May Recover Investor Losses William Schumann CRD #1604894 William Schumann is a licensed financial advisor with H. Beck, Inc. According to William Schumann’s CRD, customer disputes have been filed alleging sales practice violations against William Schumann. Customer Dispute 2/8/19: Client alleges losses arising from …
Dan King – Customer Disputes Filed Involving Financial Advisor/Broker Dan King
Dan King – Customer Disputes Filed Involving Financial Advisor/Broker Dan King | Goodman & Nekvasil, P.A. May Recover Investor Losses Dan King CRD #5954543 Dan King is a licensed financial advisor with Benchmark Investments, Inc. Dan King was previously licensed with Newbridge Securities Corporation. According to Dan King’s CRD, customer disputes has been filed alleging sales practice violations against Dan …
Scott Gunnip – Financial Advisor Scott Gunnip Barred from Securities Industry | Recover Losses
Kevin Scott Gunnip (Scott Gunnip) – Financial Advisor/Broker Scott Gunnip Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Scott Gunnip CRD #2701801 Scott Gunnip was a formerly licensed broker/financial advisor with Morgan Stanley. According to FINRA, Scott Gunnip was barred from the securities industry in September 2019. According to FINRA Allegations In 2018, FINRA began …
Raleigh Kraft – Financial Advisor/Broker Raleigh Kraft Suspended from Securities Industry
Raleigh Kraft – Financial Advisor/Broker Raleigh Kraft Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Raleigh Kraft CRD #1036719 Raleigh Kraft is a currently licensed financial advisor with H. Beck, Inc. Raleigh Kraft was previously licensed with Wells Fargo Financial Network. According to FINRA, Raleigh Kraft was suspended from the securities industry for two …
Richard Reynolds – Customer Disputes Filed Involving Financial Advisor/Broker Richard Reynolds
Richard Reynolds – Customer Disputes Filed Involving Financial Advisor/Broker Richard Reynolds | Goodman & Nekvasil, P.A. May Recover Investor Losses Richard Reynolds CRD #2162706 Richard Reynolds is a currently licensed financial advisor/broker with Worden Capital Management LLC. Richard Reynolds was a previously licensed financial advisor/broker with Rockwell Global Capital LLC. According to Richard Reynolds’ CRD, customer disputes has been filed …
Michael Sims – Customer Disputes Filed Involving Financial Advisor/Broker Michael Sims
Michael Sims – Customer Disputes Filed Involving Financial Advisor/Broker Michael Sims | Goodman & Nekvasil, P.A. May Recover Investor Losses Michael Sims CRD #1034180 Michael Sims is a previously licensed financial advisor/broker with Wedbush Securities, Inc. According to Michael Sims’ CRD, customer disputes has been filed alleging sales practice violations against Michael Sims: Customer Dispute 8/13/19: Client represents excessive trading, …
Bruce Jordan – Financial Advisor/Broker Bruce Jordan Suspended from Securities Industry
Bruce Jordan – Financial Advisor/Broker Bruce Jordan Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Bruce Jordan CRD #1223556 Bruce Jordan is a currently licensed financial advisor with Newbridge Securities Corporation. According to FINRA, Bruce Jordan was suspended from the securities industry for two months and fined $5,000 in September 2019. According to FINRA Allegations: …