John Phillips – Customer Disputes Filed Involving Financial Advisor/Broker John Phillips | Goodman & Nekvasil, P.A. May Recover Investor Losses John Phillips CRD #2796242 John Phillips was a previously licensed financial advisor with Metlife Securities, Inc. According to John Phillips’ CRD, customer disputes have been filed alleging sales practice violations against John Phillips. Customer Dispute 7/1/19: Plaintiffs alleged Unfair and …
Yellowstone Partners LLC – SEC Files Complaint
Yellowstone Partners LLC – SEC Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Allegations From at least 2008 through June 30, 2017 (the “Relevant Period”), Hansen, the former Chief Executive Officer (“CEO”) of then-Commission-registered investment adviser, Yellowstone, caused Yellowstone to overbill investment advisory clients as part of a fraudulent scheme to inflate Defendants’ …
Brian Parker – Financial Advisor/Broker Brian Parker Suspended from Securities Industry
Brian Parker – Financial Advisor/Broker Brian Parker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Brian Parker CRD #2161106 Brian Parker was a formerly licensed financial advisor with USA Financial Securities Corporation. Brian Parker was previously licensed with MML Investors Services, LLC. According to FINRA, Brian Parker was suspended from the securities industry for …
Robert Wamhoff – Customer Disputes Filed Involving Financial Advisor/Broker Robert Wamhoff
Robert Wamhoff – Customer Disputes Filed Involving Financial Advisor/Broker Robert Wamhoff | Goodman & Nekvasil, PA May Recover Investor Losses Robert Wamhoff CRD #2082701 Robert Wamhoff was a previously license financial advisor with Calton & Associates, Inc. and VSR Financial Services, Inc. According to Robert Wamhoff’s CRD, customer disputes have been filed alleging sales practice violations against Robert Wamhoff. Customer …
Bradley Reifler – Financial Advisor/Broker Bradley Reifler Barred from Securities Industry
Bradley Reifler – Financial Advisor/Broker Bradley Reifler Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Bradley Reifler CRD #1589414 Bradley Reifler is was a formerly licensed financial advisor with Wilmington Capital Securities, LLC and Forefront Capital Markets LLC. According to FINRA, Bradley Reifler was barred from the securities industry. According to FINRA: Bradley Reifler …
Michael Bush – Financial Advisor/Broker Michael Bush May Have Sold Future Income Payments
Goodman & Nekvasil P.A. May Recover Investor Losses on Future Income Payments, LLC | Michael Bush – Financial Advisor/Broker Michael Bush May Have Sold Future Income Payments Michael Bush aka Mike Bush CRD # 1580389 Michael Bush was licensed with Liberty Partners Financial Services, LLC from 2011 until 2016. Goodman & Nekvasil, P.A. has been contacted by an individual who purchased …
UBS Yield Enhancement Strategies | Goodman & Nekvasil P.A. May Recover Investor Losses
UBS Yield Enhancement Strategies | Goodman & Nekvasil P.A. May Recover Investor Losses According to the Wall Street Journal: Yield Enhancement Strategy (YES) is a complex investment strategy pitched as low-risk by stockbrokers at UBS Group. According to the WSJ, YES, has generated at least $60 million in losses for clients and more than two dozen customer complaints, according to …
Jersey Consulting LLC – SEC Files Complaint
Jersey Consulting LLC – SEC Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Allegations Jersey Consulting LLC (“Jersey”) is a Nevada limited liability company organized on April 29, 2014, and which ostensibly engages in mining and/or ore processing activity. Jersey’s principal place of business is in West Jordan, Utah. Jersey is owned and …
Lawrence E Hagedorn (Lawrence Hagedorn) Financial Advisor, Broker Lawrence Hagedorn Charged with Theft by Deception
Lawrence E Hagedorn (Lawrence Hagedorn) Financial Advisor/Broker Lawrence Hagedorn Charged with Theft by Deception | Goodman & Nekvasil, P.A. May Recover Investor Losses Lawrence E Hagedorn (Lawrence Hagedorn) CRD #1794077 According to Lawrence Hagedorn’s BrokerCheck Report: Lawrence Hagedorn was a previously licensed financial advisor/broker with The O.N. Equity Sales Company. According to Lawrence Hagedorn’s BrokerCheck report, Lawrence Hagedorn was barred …
Marty Batstone – Financial Advisor/Broker Marty Batstone Investigated by FINRA
Marty Batstone – Financial Advisor/Broker Marty Batstone Investigated by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Marty Batstone CRD #4299561 Marty Batstone was a formerly licensed financial advisor with Newbridge Securities Corporation, Crown Capital Securities LP and Independent Financial Group LLC. According to FINRA: Wells Notice examination #20190612052: FINRA made a preliminary determination to recommend that …