Broad Reach Capital, LP and Broad Reach Partners, LLC – SEC Files Complaint for Violations | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Allegations: This case involves an investment advisory fraud in which Brenda A. Smith and the other Defendants solicited over $100 million from investors for purported investment in sophisticated securities trading strategies. However, …

Marcus Boggs: SEC Charges Financial Advisor/Broker Marcus Boggs with Theft | Goodman & Nekvasil P.A. May Recover Investor Losses Marcus Boggs CRD #5055667 Marcus Boggs was a licensed financial advisor with Merrill Lynch from 2006 to 2018. According to Marcus Boggs’ CRD, Marcus Boggs was barred from the securities industry in April 2019. According to FINRA, Marcus Boggs failed to respond …

Kari Buckles – Financial Advisor/Broker Kari Buckles Discharged from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses Kari Buckles CRD #6443019 Kari Buckles was formerly licensed with Allstate Financial Services, LLC. According to Kari Buckles’ CRD, Kari Buckles was discharged from Allstate Financial Services, LLC in September 2018. According to Kari Buckles’ CRD, Allstate Financial Services, LLC reported …

Charles Taylor – Financial Advisor Charles Taylor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Charles Taylor CRD #1215434 Charles Taylor is licensed with Independent Financial Group, LLC. Charles Taylor was previously licensed with Royal Alliance Associates, Inc. According to Charles Taylor’s CRD, Charles Taylor was fined $25,000 and suspended for six months from the …

Thomas Lee Johnson – Financial Advisor/Broker Thomas Johnson Named in FINRA Complaint | Goodman & Nekvasil P.A., May Recover Investor Losses Thomas Johnson CRD #1215434 Thomas Johnson was licensed with RBC Capital Markets, LLC from 2009 to 2017. According to Thomas Johnson’s CRD, Thomas Johnson was named in a FINRA complaint. ACCORDING TO FINRA Allegations: Thomas Johnson was named a …

Arlyn Stokesbary – Financial Advisor/Broker Arlyn Stokesbary Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Arlyn Stokesbary CRD #1717430 Arlyn Stokesbary was a formerly licensed financial advisor with Thrivent Investment Management, Inc. FINRA reports that Arlyn Stokesbary was fined $5,000 and suspended from the securities industry for 15 days in August 2019. According to FINRA: …

Jesse Gil – Financial Advisor/Broker Jesse Gil Allegedly Converted Funds | Goodman & Nekvasil P.A., May Recover Investor Losses Jesse Gil CRD #5188650 Jesse Gil is a licensed financial advisor with Allstate Financial Services, LLC in Corpus Christi, TX. Jesse Gil was previously licensed with Merrill Lynch. According to FINRA Allegations In July and August 2016, while associated with a …

Bobby Wayne Coburn: Florida Financial Advisor Bobby Coburn Barred from Securities Industry by FINRA Bobby Coburn CRD #1464789 Bobby Coburn is a formerly licensed financial advisor with Securities America, Inc. According to FINRA, Bobby Coburn was barred from the securities industry in August 2019. According to FINRA: Bobby Coburn consented to the sanction and to the entry of findings that …

Chris Bowman – Customer Dispute Filed Involving Financial Advisor Chris Bowman | Goodman & Nekvasil P.A., May Recover Investor Losses Chris Bowman CRD #2187173 Chris Bowman has been licensed with Aeon Capital, Inc. since 2017. Chris Bowman was previously licensed with Accelerated Capital Group. Customer Dispute 3/29/19: Claimant alleges poor performance of Alternative Investments purchased through Meridian and ACG from …

Antoine Souma – Customer Dispute Filed Involving Financial Advisor Antoine Souma | Goodman & Nekvasil P.A., May Recover Investor Losses Antoine Souma CRD #4210987 Antoine Souma has been licensed with Morgan Stanley since 2016. Antoine Souma was previously licensed with J.P. Morgan Securities LLC. Customer Dispute 12/27/16: Claimant alleges exercise of discretion, excessive and unsuitable trading, falsified performance reports, failure …