Lisa Acca, Financial Advisor Lisa Acca Barred from Securities Industry by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Lisa Acca CRD #4661358 Lisa Acca was a formerly licensed financial advisor with Arive Capital Markets. According to FINRA, Lisa Acca was barred from the securities industry in August 2019. According to FINRA During an investigation by FINRA into …
Jollene Austin – Financial Advisor Jollene Austin Resigned from Firm
Jollene Austin – Financial Advisor Jollene Austin Resigned from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses Jollene Austin Financial Advisor CRD #2997633 Jollene Austin is a formerly licensed financial advisor with Wynston Hill Capital, LLC, Revere Securities LLC, Securities America, Inc and LPL Financial LLC. According to Jollene Austin’s CRD, Jollene Austin resigned from Commonwealth Financial Network …
Shawn Burns, Financial Advisor Shawn Burns Barred from Securities Industry by FINRA
Shawn Burns, Financial Advisor Shawn Burns Barred from Securities Industry by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Shawn Burns CRD #3138114 Shawn Burns was a formerly licensed financial advisor with Salomon Whitney Financial and Cape Securities, Inc. According to FINRA, Shawn Burns was barred from the securities industry in August 2017. According to FINRA Shawn Burns …
Ahmad Wares – Customer Dispute Filed Involving Financial Advisor Ahmad Wares
Ahmad Wares – Customer Dispute Filed Involving Financial Advisor Ahmad Wares | Goodman & Nekvasil, PA May Recover Investor Losses Ahmad Wares aka Kevin Wares Financial Advisor CRD #2959624 Ahmad Wares is a currently licensed financial advisor with Worden Capital Management LLC. Ahmad Wares was previously licensed with Salomon Whitney Financial and Laidlaw & Company (UK) Ltd. According to Ahmad …
Ken Kavanagh, Financial Advisor Ken Kavanagh Suspended from Securities Industry
Ken Kavanagh, Financial Advisor Ken Kavanagh Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Ken Kavanagh CRD #4502223 Ken Kavanagh was a formerly licensed financial advisor with Morgan Stanley. According to FINRA, Ken Kavanagh was suspended from the securities industry for 18 months and fined $25,000 in August 2019. According to FINRA allegations: Ken Kavanagh …
Eldridge Parks, Financial Advisor Eldridge Parks Barred from Securities Industry by FINRA
Eldridge Parks, Financial Advisor Eldridge Parks Barred from Securities Industry by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Eldridge Parks CRD #1041447 Eldridge Parks was a formerly licensed financial advisor with Raymond James & Associates, Inc. According to FINRA, Eldridge Parks was barred from the securities industry in August 2019. According to FINRA Eldridge Parks consented to …
Karen Paek, Financial Advisor Karen Paek Barred from Securities Industry by FINRA
Karen Paek, Financial Advisor Karen Paek Barred from Securities Industry by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Karen Paek CRD #5985441 Karen Paek was a formerly licensed financial advisor with Pruco Securities, LLC. According to FINRA, Karen Paek was barred from the securities industry in August 2019. According to FINRA Karen Paek consented to the sanction …
ICON ECI Fund Sixteen – Did you Suffer Investment Losses?
Goodman & Nekvasil, P.A., May Recover Investor Losses | ICON ECI Fund Sixteen According to its website, ICON ECI Fund Sixteen (“Fund Sixteen”) is an equipment focused credit fund that seeks to make debt and debt-like investments in domestic and international, public and private companies in asset-intensive industries. According to Icon ECI Fund Sixteen’s website, these investments will be collateralized by the …
Jeffrey Raymond Dixson (Jeffrey Dixson) – Customer Disputes Filed Involving Financial Advisor/Broker Jeffrey Dixson
Jeffrey Raymond Dixson (Jeffrey Dixson) – Customer Disputes Filed Involving Financial Advisor/Broker Jeffrey Dixson | Goodman & Nekvasil, P.A. May Recover Investor Losses Jeffrey Dixson Financial Advisor/Broker CRD #4166311 -Update 2/26/20- Goodman & Nekvasil, P.A. Has Filed an Arbitration Claim Involving Jeffrey Dixson’s Alleged Sale of GPB Capital- Jeffrey Dixson has been a licensed financial advisor with Madison Avenue Securities, …
Cynthia Jones, Financial Advisor Cynthia Jones Barred from Securities Industry by FINRA
Cynthia Jones, Financial Advisor Cynthia Jones Barred from Securities Industry by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Cynthia Jones CRD #706190 Cynthia Jones was a formerly licensed financial advisor with Fidelity Brokerage Services LLC. According to FINRA, Cynthia Jones was barred from the securities industry in July 2019. According to FINRA, Cynthia Jones consented to the …