FINRA Bars Bryan Clark: Financial Advisor/Broker Bryan Clark Barred from Securities Industry Bryan Clark CRD #2987321 Bryan Clark was a previously licensed financial advisor with American Portfolios Financial Services, Inc. and Kestra Investment Services, LLC. According to FINRA, Bryan Clark was barred from the securities industry in October 2018. ACCORDING TO FINRA: In June 2019, during the course of Enforcement’s …

Stephen Shea – FINRA Files Complaint Against Financial Advisor Stephen Shea | Goodman & Nekvasil P.A., May Recover Investor Losses Stephen Shea CRD #3274649 Stephen Shea was a previously licensed financial advisor with Arete Wealth Management, LLC, Penserra Securities, LLC and Gordian Investments, LLC. ACCORDING TO FINRA: On May 8, 2019, FINRA made a preliminary determination to recommend that disciplinary …

Gurpreet Chandhoke – FINRA Files Complaint Against Financial Advisor Gurpreet Chandhoke | Goodman & Nekvasil P.A., May Recover Investor Losses Gurpreet Chandhoke CRD #4999369 Gurpreet Chandhoke was a previously licensed financial advisor with Arete Wealth Management, LLC, Penserra Securities, LLC and Gordian Investments, LLC. ACCORDING TO FINRA: On May 8, 2019, FINRA made a preliminary determination to recommend that disciplinary …

The Kabra Goup, LLC – SEC Obtains Restraining Order | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Allegations: The Securities and Exchange Commission announced that it has obtained a temporary restraining order and asset freeze against defendants Tanmaya (a/k/a Tan) Kabra and LaunchByte.io, LLC in the SEC’s previously filed emergency action, in which the SEC alleges …

Launchbyte.IO, LLC – SEC Obtains Restraining Order | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Allegations: The Securities and Exchange Commission announced that it has obtained a temporary restraining order and asset freeze against defendants Tanmaya (a/k/a Tan) Kabra and LaunchByte.io, LLC in the SEC’s previously filed emergency action, in which the SEC alleges that the …

David Volpe, Financial Advisor David Volpe Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses David Volpe CRD #2543748 David Volpe was a formerly licensed financial advisor with LPL Financial LLC and National Planning Corporation. According to FINRA, David Volpe was barred from the securities industry in August 2019. According to FINRA David Volpe consented to …

Thomas Williams, Financial Advisor Thomas Williams Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Thomas Williams aka Thomas Raymond Williams CRD #3176294 Thomas Williams is a currently licensed financial advisor with Ross, Sinclaire & Associates, LLC in Cincinatti, Ohio. According to FINRA, Thomas Williams was fined $10,000 and will be suspended from the securities industry …

Orlando Vargas – Financial Advisor Orland Vargas Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Orlando Vargas CRD #5703625 Orlando Vargas was a previously licensed financial advisor with Fidelity Brokerage Services LLC. According to FINRA, Orlando Vargas was barred from the securities industry in August 2019. ACCORDING TO FINRA: Orlando Vargas consented to the sanction …

Richard Coleman, Financial Advisor Richard Coleman Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Richard Coleman aka Rich Coleman CRD #2720422 Richard Coleman was a formerly licensed financial advisor with SW Financial, Richard James & Associates, Inc. and Salomon Whitney Financial. According to FINRA, Richard Coleman was suspended from the securities industry for 2 years …

Steve Baptist, Financial Advisor Steve Baptist Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Steve Baptist CRD #5885870 Steve Baptist is a currently licensed financial advisor with PHX Financial, Inc. Steve Baptist was previously with Joseph Gunnar & Co. LLC. According to FINRA, Steve Baptist was suspended from the securities industry for 30 days and …