Prominence Homes – Customer Complaints Filed Through the Better Business Bureau | Goodman & Nekvasil P.A. May Recover Losses in Promissory Notes According to Complaints Filed Through the Better Business Bureau Complaint Filed 7/16/19: The complaint alleges that Prominence Homes has not yet returned retirement money to an IRA services account. The complainant alleges that they have left ten messages …

David Rockwell – Customer Disputes Filed Involving Financial Advisor/Broker David Rockwell | Goodman & Nekvasil P.A., May Recover Investor Losses David Rockwell Financial Advisor/Broker CRD #4236377 aka David Aaron Rockwell David Rockwell was a formerly licensed financial advisor with Cetera Advisor Networks LLC and SunTrust Investment Services, Inc. According to David Rockwell’s CRD, David Rockwell was discharged from Cetera Advisor …

Herbert Hafen – Financial Advisor/Broker Herbert Hafen Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Herbert Hafen CRD #867068 Herbert Hafen was a formerly licensed financial advisor/broker with Wells Fargo and Morgan Stanley. According to FINRA, Herbert Hafen was barred from the securities industry in February 2019. FINRA reports that Herbert Hafen allegedly failed to …

Craig Isaacs – Financial Advisor Craig Isaacs Sold Fraudulent Investment | Goodman & Nekvasil P.A., May Recover Investor Losses Craig Isaacs CRD #1261116 Craig Isaacs was a formerly licensed financial advisor with Geneos Wealth Management, Inc. Goodman & Nekvasil, P.A. has learned through court documents that Craig Isaacs sold the fraudulent, 1 Global Capital investment. According to Craig Isaacs’ CRD, …

Joseph Bennett – Financial Advisor/Broker Joseph Bennett Sold Fraudulent Investment | Goodman & Nekvasil P.A., May Recover Investor Losses Joseph Bennett aka Joseph Daniel Bennett Financial Advisor/Broker CRD #6272106 Joseph Bennet is a formerly licensed financial advisor with LPL Financial LLC and Merrill Lynch in Baton Rouge, Louisiana. Goodman & Nekvasil, P.A. has learned that Joseph Bennett sold the fraudulent …

Craig Bula – Financial Advisor/Broker Craig Bula Sold Fraudulent Investment | Goodman & Nekvasil P.A., May Recover Investor Losses Craig Bula Financial Advisor/Broker CRD #6588734 Craig Bula is a formerly licensed financial advisor with Waddell & Reed in Riverside, California. Goodman & Nekvasil, P.A. has learned that Craig Bula sold the fraudulent 1 Global Capital investment according to court documents.  …

Alec Tracy – Financial Advisor/Broker Alec Tracy Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Alec Tracy CRD #5703493 Alec Tracy was a formerly licensed financial advisor with JP Morgan Securities LLC. According to Alec Tracy’ CRD, Alec Tracy was barred from the securities industry in June 2017. According to FINRA, Alec Tracy failed to …

Cetera Advisors LLC – SEC Charges Cetera Advisors, LLC with Breaching Fiduciary Duty and Defrauding Clients | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Allegations: The Securities and Exchange Commission today charged Cetera Advisors, LLC, a registered investment adviser and broker-dealer based in Denver, Colorado, with breaching its fiduciary duty and defrauding its retail advisory …

Vitthal Patel – Financial Advisor/Broker Vitthal Patel Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Vitthal Patel CRD #1775477 Vitthal Patel was a formerly licensed financial advisor with PFS Investments, Inc. FINRA reports that Vitthal Patel was fined $5,000 and suspended from the securities industry for six months in August 2019. According to FINRA Allegations: …

Michael Tavel: Financial Advisor/Broker Michael Tavel Sold Fraudulent Investment | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Tavel Financial Advisor/Broker CRD #4862463 Summary: Michael Tavel aka Michael Anthony Tavel was discharged from LPL Financial LLC and sold the fraudulent, 1 Global Capital investment. Call our firm today at 1-800-500-4442 for a free consultation.  Michael Tavel is a formerly …