Albert Harkless – Financial Advisor/Broker Albert Harkless Barred and Fined by State of Maryland | Goodman & Nekvasil P.A., May Recover Investor Losses Albert Harkless CRD #2782039 Albert Harkless was a previously licensed financial advisor with PFS Investments, Inc. According to FINRA, Albert Harkless was barred and fined by the State of Maryland and fined $15,000 in August 2019. According …

Michael Siva – Financial Advisor/Broker Michael Siva Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Siva CRD #1751280 Michael Siva was a previously licensed financial advisor with Morgan Stanley. Inc. According to FINRA, Michael Siva was barred from the securities industry in September 2019. According to the SEC Allegations:   On September 23, 2019, …

Mark Cramer – Financial Advisor/Broker Mark Cramer Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Mark Cramer CRD #1313587 Mark Cramer is a currently licensed financial advisor with MML Investors Services LLC. Mark Cramer was previously licensed with MSI Financial Services, Inc.   According to FINRA, Mark Cramer was suspended from the securities industry for two …

Maureen Scalzo – Financial Advisor/Broker Maureen Scalzo Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Maureen Scalzo CRD #1349675 Maureen Scalzo was a previously licensed financial advisor with Benjamin F. Edwards & Company, Inc. and Wells Fargo Advisors LLC. According to FINRA, Maureen Scalzo was barred from the securities industry in September 2019. According to …

Michael D’Aquila – Financial Advisor/Broker Michael D’Aquila Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Michael D’Aquila CRD #6541088 Michael D’Aquila was a formerly licensed financial advisor with Merrill Lynch. According to FINRA, Michael D’Aquila was barred from the securities industry in October 2019. According to FINRA Allegations: Michael D’Aquila refused to appear for testimony …

Richard Brown – SEC Charged Richard Brown with Fraud | Goodman & Nekvasil P.A., May Recover Investor Losses Richard Brown CRD #3245291 Richard Brown was a formerly licensed financial advisor with Arive Capital Markets and Chelsea Financial Services. According to FINRA, Richard Brown agreed to pay restitution in the amount of $96,598 to the State of Maine for the benefit …

Abraham Kauffman – Financial Advisor/Broker Abraham Kauffman Agrees to Pay Restitution to Victim | Goodman & Nekvasil P.A., May Recover Investor Losses Abraham Kauffman CRD #6317977 Abraham Kauffman was a formerly licensed financial advisor with Pruco Securities, LLC. According to FINRA, Abraham Kauffman agreed to pay restitution in the amount of $96,598 to the State of Maine for the benefit …

National Law Enforcement Museum Allegedly Defaulted on Payment | Goodman & Nekvasil P.A. May Recover Investor Losses According to Bloomberg: The National Law Enforcement Museum defaulted on a Jan. 1 payment due on some of the $103 million of bonds that financed its Washington, D.C., facilities near the Smithsonian, just months after it opened in October. It attributed the lapse …

Ben Lowder – Financial Advisor/Broker Ben Lowder Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Ben Lowder CRD #3014106 Ben Lowder was a formerly licensed financial advisor with MSI Financial Services, Inc. According to FINRA, Ben Lowder was barred from the securities industry in October 2019. According to FINRA Allegations: Ben Lowder consented to the sanctions …

Cristina Sabengsy – Financial Advisor/Broker Cristina Sabengsy Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Cristina Sabengsy CRD #6304970 Cristina Sabengsy was a formerly licensed financial advisor with NYLife Securities LLC. According to FINRA, Cristina Sabengsy was barred from the securities industry in October 2019. According to FINRA Allegations: FINRA Rule 2010 requires registered representatives …