Sheldon Harber – Financial Advisor/Broker Sheldon Harber Previously Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Sheldon Harber Financial Advisor/Broker CRD #867340 Sheldon Harber was a formerly licensed financial advisor with Geneos Wealth Management, Inc. and Cambridge Investment Research, Inc. According to FINRA, Sheldon Harber was suspended from the securities industry for four months and …
Kevin Fretz – Financial Advisor/Broker Kevin Fretz Discharged by LPL Financial LLC
Kevin Charles Fretz (Kevin Fretz) – Financial Advisor/Broker Kevin Fretz Discharged from LPL Financial LLC | Goodman & Nekvasil P.A., May Recover Investor Losses Kevin Charles Fretz (Kevin Fretz) Financial Advisor/Broker CRD #4128808 Kevin Fretz was a previously licensed financial advisor/broker with LPL Financial LLC. According to Kevin Fretz’ BrokerCheck Report, Kevin Fretz was discharged from LPL Financial LLC in …
Christopher Kozak – Financial Advisor/Broker Christopher Kozak Under Investigation by FINRA
Christopher Kozak – Financial Advisor/Broker Christopher Kozak Under Investigation by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Christopher Kozak CRD #5530806 Christopher Kozak was a formerly licensed financial advisor with Cetera Advisors LLC. According to FINRA Allegations: The December 12, 2018 Wells Notice letter identifies potential violations including, violation of NASD Rule 3040 and FINRA Rules 3280 …
Elizabeth Guarino – Financial Advisor/Broker Elizabeth Guarino Suspended from Securities Industry
Elizabeth Guarino – Financial Advisor/Broker Elizabeth Guarino Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Elizabeth Guarino CRD #1264531 Elizabeth Guarino was a formerly licensed financial advisor with Wells Fargo Clearing Services, LLC. According to FINRA, Elizabeth Guarino was suspended from the securities industry for 15 months and fined $10,000 in November 2019. According to …
Brendan Flick – Financial Advisor/Broker Brendan Flick Suspended from Securities Industry
Brendan Flick – Financial Advisor/Broker Brendan Flick Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Brendan Flick CRD #6130327 Brendan Flick was a formerly licensed financial advisor with Raymond James Financial Services, Inc. and CSSC Brokerage Services, Inc. According to FINRA, Brendan Flick was suspended from the securities industry for three months and fined $5,000 …
Kenneth Mahoney – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Kenneth Mahoney
Kenneth Mahoney – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Kenneth Mahoney | Goodman & Nekvasil P.A., May Recover Investor Losses Kenneth Mahoney CRD #1911756 Kenneth Mahoney is a formerly licensed financial advisor/broker with Aurora Capital LLC. According to Kenneth Mahoney’s CRD, a customer dispute has been filed alleging sales practice violations against Kenneth Mahoney. Customer Dispute …
Ramone Knight – Financial Advisor/Broker Ramone Knight Barred from Securities Industry
Ramone Knight – Financial Advisor/Broker Ramone Knight Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Ramone Knight CRD #5265446 Ramone Knight was a previously licensed financial advisor with NYLife Securities LLC. According to Ramone Knight’s CRD, Ramone Knight was barred from the securities industry in October 2019. According to FINRA Allegations: Ramone Knight consented to …
Jefferey Dyra – Financial Advisor/Broker Jefferey Dyra Barred from Securities Industry
Jefferey Dyra – Financial Advisor/Broker Jefferey Dyra Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Jefferey Dyra CRD #6785909 Jefferey Dyra was a previously licensed financial advisor with Bankers Life Securities, Inc. According to Jefferey Dyra’s CRD, Jefferey Dyra was barred from the securities industry in October 2019. According to FINRA Allegations: Jefferey Dyra consented …
Donna Pitts – Financial Advisor/Broker Donna Pitts Barred from Securities Industry
Donna Pitts – Financial Advisor/Broker Donna Pitts Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Donna Pitts CRD #2708516 Donna Pitts was a formerly licensed broker/financial advisor with RCH Securities. According to Donna Pitts’ CRD, Donna Pitts was barred from the securities industry in October 2019 According to FINRA Allegations: From August 14, 2018 through …
Ramon Herrera – Financial Advisor/Broker Ramon Herrera Barred from Securities Industry
Ramon Herrera – Financial Advisor/Broker Ramon Herrera Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Ramon Herrera CRD #6021170 Ramon Herrera was a formerly licensed broker/financial advisor with Wells Fargo Clearing Services, LLC. According to Ramon Herrera’s CRD, Ramon Herrera was barred from the securities industry in July 2018. According to FINRA Allegations: Ramon Herrera …