Social Voucher.com, Inc. – SEC Files Complaint for Injunctive Relief | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Allegations: From at least June 2013 through at least June 2018, Defendant Gerald C. Parker (“Defendant” or “Parker”), president and CEO of Social Voucher.com, Inc. (“Social Voucher’), raised approximately $20.5 million from about 400 investors through an …
Joseph Pratt – Financial Advisor/Broker Joseph Pratt Barred from Securities Industry
Joseph Pratt – Financial Advisor/Broker Joseph Pratt Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Joseph Pratt CRD #719416 Joseph Pratt is a currently licensed financial advisor with Stifel, Nicolaus & Company, Inc. According to FINRA, Joseph Pratt was barred from the securities industry in September 2019. According to FINRA: From at least 2013 …
John Wyshak – Customer Disputes Filed Involving Financial Advisor/Broker John Wyshak
John Wyshak – Customer Disputes Filed Involving Financial Advisor/Broker John Wyshak | Goodman & Nekvasil, P.A. May Recover Investor Losses John Wyshak CRD #1272260 John Wyshak is a previously licensed financial advisor/broker with Raymond James & Associates, Inc. According to John Wyshak’s CRD, customer disputes have been filed alleging sales practice violations against John Wyshak. Customer Dispute 8/19/19: Alleged unauthorized …
Brian Rieman – Customer Disputes Filed Involving Financial Advisor/Broker Brian Rieman
Brian Rieman – Customer Disputes Filed Involving Financial Advisor/Broker Brian Rieman | Goodman & Nekvasil, P.A. May Recover Investor Losses Brian Rieman CRD #4427713 Brian Rieman is a currently licensed financial advisor/broker with Hennion & Walsh, Inc. According to Brian Rieman’s CRD, customer disputes have been filed alleging sales practice violations against Brian Rieman. Customer Dispute 7/31/18: Alleged unsuitable investments …
Jason Figueroa – Financial Advisor/Broker Jason Figueroa Barred from Securities Industry
Jason Figueroa – Financial Advisor/Broker Jason Figueroa Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Jason Figueroa CRD #5062799 Jason Figueroa was a formerly licensed financial advisor/broker with The GMS Group, LLC. According to FINRA, Jason Figueroa was barred from the securities industry in October 2015. According to FINRA: Jason Figueroa consented to the sanction …
Marc Korsch – Customer Disputes Filed Involving Financial Advisor/Broker Marc Korsch
Marc Korsch – Customer Disputes Filed Involving Financial Advisor/Broker Marc Korsch | Goodman & Nekvasil, P.A. May Recover Investor Losses Marc Korsch CRD #552522 Marc Korsch is a currently licensed broker with Cenaturus Financial, Inc. Marc Korsch was previously licensed with Trustmont Financial Group, Inc. Publicly available records indicate that Florida-based Centaurus Financial broker/advisor, Mark Korsch, is involved in pending …
Bernie Adair – Customer Dispute Filed Involving Financial Advisor/Broker Bernie Adair
Bernie Adair – Customer Dispute Filed Involving Financial Advisor/Broker Bernie Adair | Goodman & Nekvasil, P.A. May Recover Investor Losses Bernie Adair CRD #1535429, aka Bernard Adair Bernie Adair is a currently licensed financial advisor with Merrill Lynch. According to Bernie Adair’s CRD, a customer dispute was filed alleging sales practice violations against Bernie Adair. Customer Dispute 7/15/19: The Power …
5 Star Commercial, LLC and 5 Star Capital Fund LLC – Complaint Filed by SEC
5 Star Commercial, LLC and 5 Star Capital Fund LLC – Complaint Filed by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Allegations This case centers on material misrepresentations made to investors – and a fraudulent scheme perpetrated – by Defendant Earl D. Miller and two private investment vehicles that he controlled, 5 Star …
Daniel Corey – Financial Advisor/Broker Daniel Corey Previously Convicted of Theft
Daniel Corey – Financial Advisor/Broker Daniel Corey Previously Convicted of Theft | Goodman & Nekvasil P.A., May Recover Investor Losses Daniel Corey CRD #6319568 Daniel Corey is a currently licensed financial advisor/broker with Bankers Life Securities, Inc. Daniel Corey was previously licensed with Proequities, Inc. According to Daniel Corey’s CRD, Daniel Corey was previously convicted of misdemeanor, theft of property …
Halil Kozi (Hal Kozi) – Financial Advisor/Broker Halil Kozi Named in FINRA Complaint
Halil Kozi (Hal Kozi) – Financial Advisor/Broker Halil Kozi Named in FINRA Complaint | Goodman & Nekvasil P.A., May Recover Investor Losses Hal Kozi CRD #1121714 Hal Kozi was a formerly licensed financial advisor/broker with Buckman, Buckman & Reid, Inc. and PHX Financial, Inc. According to FINRA, Hal Kozi was named a respondent in a FINRA complaint. According to FINRA: Hal …