Matthew Crafa: Financial Advisor/Broker Matthew Crafa Subject of FINRA Complaint Matthew Crafa CRD #3114277 Matthew Crafa is a currently licensed financial advisor with Royal Alliance Associates, Inc. According to Matthew Crafa’s BrokerCheck report, a customer dispute has been filed alleging sales practice violations against Matthew Crafa. Customer Dispute 4/25/19: Allegations include breach of contract, breach of fiduciary duty and negligence. …

Stuart Nichols – Financial Advisor/Broker Stuart Nichols Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Stuart Nichols CRD #4932310 Stuart Nichols was a previously licensed financial advisor with Raymond James & Associates, Inc. According to Stuart Nichols’ CRD, Stuart Nichols was barred from the securities industry on October 25, 2019. According to FINRA Allegations:   Stuart …

Paul Hadel – Customer Dispute Filed Involving Financial Advisor/Broker Paul Hadel | Goodman & Nekvasil, P.A. May Recover Investor Losses Paul Hadel CRD #1017223 Paul Hadel is a currently licensed financial advisor with Woodbury Financial Services, Inc. According to Paul Hadel’s CRD, a customer dispute has been filed alleging sales practice violations against Paul Hadel. Customer Dispute 9/17/19: It is …

Steven Yellen – Financial Advisor/Broker Steven Yellen Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Steven Yellen CRD #1281663 Steven Yellen was a previously licensed financial advisor with Ameriprise Financial Services, Inc. and Morgan Stanley.   According to FINRA, Steven Yellen was suspended from the securities industry for one year and fined $25,000 in October 2019.  …

Daniel Arcuri – Financial Advisor/Broker Daniel Arcuri Named in FINRA Complaint | Goodman & Nekvasil P.A., May Recover Investor Losses Daniel Arcuri CRD #2200431 Daniel Arcuri was a previously licensed financial advisor with Thrivent Investment Management, Inc. According to FINRA Allegations:    Daniel Arcuri was named a respondent in a FINRA complaint alleging he failed to appear and testify as …

Dean Kajouras – Customer Disputes Filed Involving Financial Advisor/Broker Dean Kajouras | Goodman & Nekvasil, P.A. May Recover Investor Losses Dean Kajouras CRD #1436548 Dean Kajouras is a currently licensed financial advisor with Fordham Financial Management, Inc. Dean Kajouras was previously licensed with Spartan Capital Securities, LLC. According to Dean Kajouras’ CRD, customer disputes have been filed alleging sales practice …

Trevor Rahn – Financial Advisor/Broker Trevor Rahn Discharged by JP Morgan Chase Bank | Goodman & Nekvasil P.A., May Recover Investor Losses Trevor Rahn Financial Advisor CRD #2196155 Trevor Rahn is a formerly licensed financial advisor with J.P. Morgan Securities LLC. According to Trevor Rahn’s CRD, Trevor Rahn was discharged by JPMorgan Chase Bank in September 2018. JP Morgan Chase …

Josh Stivers – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Josh Stivers | Goodman & Nekvasil P.A., May Recover Investor Losses Josh Stivers CRD #5708565 Josh Stivers is a currently licensed financial advisor/broker with Kalos Capital, Inc. Josh Stivers was previously licensed with G.F. Investment Services, LLC. According to Josh Stivers’ CRD, customer disputes have been filed …

Larry Peggs – Customer Disputes Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Larry Peggs | Goodman & Nekvasil P.A., May Recover Investor Losses Larry Peggs CRD #1219721 Larry Peggs is a currently licensed financial advisor/broker with Ameriprise Financial Services, Inc. Larry Peggs was previously licensed with Planmember Securities Corporation. According to Larry Peggs’ CRD, customer disputes have been filed …

Tony Hobson – Customer Disputes Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Tony Hobson | Goodman & Nekvasil P.A., May Recover Investor Losses Tony Hobson CRD #4212302 Tony Hobson is a currently licensed financial advisor/broker with Money Concepts Capital Corp. According to Tony Hobson’s CRD, customer disputes have been filed alleging sales practice violations against Tony Hobson. Customer Dispute …