Larry Delhagen – Customer Disputes Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Larry Delhagen | Goodman & Nekvasil P.A., May Recover Investor Losses Larry Delhagen CRD #2779312 Larry Delhagen is a currently licensed financial advisor/broker with Stifel, Nicolaus & Company, Inc. According to Larry Delhagen’s CRD, customer disputes have been filed alleging sales practice violations against Larry Delhagen. Customer …
John Benn – Oklahoma Department of Securities Files Petition for Permanent Injunction against Financial Advisor/Broker John Benn
John Benn – Oklahoma Department of Securities Files Petition for Permanent Injunction against Financial Advisor/Broker John Benn | Goodman & Nekvasil P.A., May Recover Investor Losses John Benn CRD #1107478 John Benn was a previously licensed financial advisor with Supreme Alliance LLC and Peak Brokerage Services, LLC. According to Allegations from the State of Oklahoma Department of Securities: The Department …
Bryant Boys LLC – Complaint Filed by SEC
Bryant Boys LLC – Complaint Filed by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Allegations The Securities and Exchange Commission today charged two North Carolina businessmen with running an offering fraud that raised nearly $6 million from investors, some of whom were family and friends. The SEC’s complaint, filed in U.S. District Court …
Frederick Holloway – Financial Advisor/Broker Frederick Holloway Barred from Securities Industry
Frederick Holloway – Financial Advisor/Broker Frederick Holloway Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Frederick Holloway CRD #248814 Frederick Holloway was a previously licensed financial advisor with Holloway & Associates, Inc. According to FINRA, Frederick Holloway was barred from the securities industry in May 2019. According to FINRA Allegations: Frederick Holloway was named a …
RealtyShares Stops Seeking New Business
RealtyShares Stops Seeking New Business | Goodman & Nekvasil P.A. May Recover Investor Losses According to the San Francisco Chronicle: RealtyShares of San Francisco, one of the legions of companies trying to shake up the real estate indus try with technology, has laid off most of its people and will no longer seek new business but continue to manage …
Charles Bridgers – Financial Advisor Charles Bridgers Suspended by FINRA
Charles Bridgers – Financial Advisor/Broker Charles Bridgers Suspended by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Charles Bridgers Financial Advisor/Broker CRD #1226108 Charles Bridgers is a formerly licensed financial advisor with Wells Fargo Clearing Services, LLC. According to FINRA, Charles Bridgers was suspended from the securities industry in October 2019. According to FINRA, on January 9, 2018, …
Greg McKinney – Financial Advisor/Broker Greg McKinney Investigated by FINRA
Greg McKinney – Financial Advisor/Broker Greg McKinney Investigated by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Greg McKinney CRD #2100850 Greg McKinney was a previously licensed financial advisor with Cetera Advisors LLC. According to Greg McKinney’s CRD, Greg McKinney was investigated by FINRA. According to Allegations from FINRA: FINRA made a preliminary determination to recommend that disciplinary …
Elton Normon – Financial Advisor/Broker Elton Normon Barred from Securities Industry | Recover Losses
Elton Normon – Financial Advisor/Broker Elton Normon Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Elton Normon CRD #6402086 Elton Normon was a previously licensed financial advisor with First Command Financial Planning, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to Elton Normon’s CRD, Elton Normon was barred from the securities industry in …
Tom Phillips – Financial Advisor/Broker Tom Phillips Fined by State of Oklahoma
Tom Phillips – Financial Advisor/Broker Tom Phillips Fined by State of Oklahoma | Goodman & Nekvasil P.A., May Recover Investor Losses Tom Phillips CRD #843039 Tom Phillips is a licensed financial advisor with T.S. Phillips Investments, Inc. According to Tom Phillips’ CRD, Tom Phillips was fined by the State of Oklahoma. According to Allegations from the State of Oklahoma: …
Dain Stokes – Financial Advisor/Broker Dain Stokes Suspended by State of New Hampshire
Dain Stokes – Financial Advisor/Broker Dain Stokes Suspended by State of New Hampshire | Goodman & Nekvasil P.A., May Recover Investor Losses Dain Stokes CRD #2960801 Dain Stokes was a previously licensed financial advisor with LPL Financial LLC. According to Dain Stokes’ CRD, Dain Stokes was suspended and fined by the State of New Hampshire in August 2019. According …