Daniel Corey – Financial Advisor/Broker Daniel Corey Previously Convicted of Theft | Goodman & Nekvasil P.A., May Recover Investor Losses Daniel Corey CRD #6319568 Daniel Corey is a currently licensed financial advisor/broker with Bankers Life Securities, Inc. Daniel Corey was previously licensed with Proequities, Inc. According to Daniel Corey’s CRD, Daniel Corey was previously convicted of misdemeanor, theft of property …

Halil Kozi (Hal Kozi) – Financial Advisor/Broker Halil Kozi Named in FINRA Complaint | Goodman & Nekvasil P.A., May Recover Investor Losses Hal Kozi CRD #1121714 Hal Kozi was a formerly licensed financial advisor/broker with Buckman, Buckman & Reid, Inc. and PHX Financial, Inc. According to FINRA, Hal Kozi was named a respondent in a FINRA complaint. According to FINRA: Hal …

Edward Ruotolo – We are Investigating the Possible Sale of Woodbridge Mortgage Investment Fund by Financial Advisor/Broker Edward Ruotolo | Goodman & Nekvasil P.A., May Recover Investor Losses Edward Ruotolo CRD #2892621 Edward Ruotolo was a formerly licensed financial advisor with TFS Securities, Inc., MML Investors Services, LLC and Voya Financial Advisors, Inc. Goodman & Nekvasil, P.A. is investigating the …

Kevin Gunnip – Financial Advisor/Broker Kevin Gunnip Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Kevin Gunnip CRD #2701801 Kevin Gunnip was a formerly licensed broker/financial advisor with Morgan Stanley. According to FINRA, Kevin Gunnip was barred from the securities industry in September 2019. According to FINRA Allegations In 2018, FINRA began investigating allegations that …

Chris Childers – Financial Advisor/Broker Chris Childers Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Chris Childers CRD #2175772 Chris Childers is a formerly licensed financial advisor with Cambridge Investment Research, Inc. According to FINRA, Chris Childers was suspended from the securities industry for four months and fined $5,000 in September 2019. According to FINRA …

Mediatrix Capital, Inc. – SEC Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses SEC Files Complaint Against: MEDIATRIX CAPITAL, INC. BLUE ISLE MARKETS, INC. MICHAEL YOUNG, MICHAEL STEWART, BRYANT SEWALL, MEDIATRIX CAPITAL FUND LTD., ISLAND TECHNOLOGIES LLC, VICTORIA STEWART, MARIA YOUNG, HANNA SEWALL, MICHAEL C. BAKER, WALTER C. YOUNG III, ARUAL LP, WEST BEACH LLC, SALVE REGINA …

Viking Energy Group, Inc. f/k/a Viking Investment Group, Inc. – SEC Files Complaint Against Former CEO | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Allegations: Between November 2014 and May 2016, Tom Simeo (“Simeo”), the former Chief Executive Officer (“CEO”), Director, Chairman, and Treasurer of public company Viking Energy Group, Inc., f/k/a Viking Investments Group, …

Jeffrey Nesseth – Customer Disputes Filed Involving Financial Advisor/Broker Jeffrey Nesseth | Goodman & Nekvasil, P.A. May Recover Investor Losses Jeffrey Nesseth Financial Advisor/Broker CRD #1983482 Jeffrey Nesseth is a currently licensed financial advisor with Independent Financial Group, LLC in Plano, Texas since 2011. Jeffrey Nesseth has been a licensed financial advisor since 1990.  According to Jeffrey Nesseth’s CRD, customer …

Stephen Sullivan – Financial Advisor/Broker Stephen Sullivan Previously Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Stephen Sullivan CRD #3123249 Stephen Sullivan is a currently licensed financial advisor with SW Financial. Stephen Sullivan was previously licensed with Worden Capital Management LLC, Newbridge Securities Corporation and Wilmington Capital Securities, LLC. According to FINRA, Stephen Sullivan was …

Clay Erickson – Financial Advisor/Broker Clay Erickson Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Clay Erickson aka Clay Elder CRD #1583644 Clay Erickson is a formerly licensed financial advisor/broker licensed with Hornor, Townsend & Kent, Inc. According to FINRA, Clay Erickson was suspended from the securities industry for nine months and fined $7,500 in …