Ace Diversified Capital, Inc. – FINRA Censures and Fines Ace Diversified Capital, Inc. | Goodman & Nekvasil P.A. May Recover Investor Losses According to FINRA: From July 2013 through August 2015 (the “Relevant Period”), Ace failed to reasonably supervise a former representative’s sale of non-traditional exchange-traded funds (“ETFs”) and exchange-traded notes (“ETNs”) to his customers. The firm also failed to …

Jeffrey Cohen – Customer Dispute Previously Filed Involving Financial Advisor/Broker Jeffrey Cohen | Goodman & Nekvasil, P.A. May Recover Investor Losses Jeffrey Cohen CRD #2528929 Jeffrey Cohen is a currently licensed financial advisor with Moloney Securities Co., Inc. According to Jeffrey Cohen’s CRD, a customer disputes was filed alleging sales practice violations against Jeffrey Cohen.  Goodman & Nekvasil, P.A. has …

Christopher Shaw – Customer Dispute Filed Involving Financial Advisor/Broker Christopher Shaw | Goodman & Nekvasil, P.A. May Recover Investor Losses Christopher Shaw aka Christopher John Shaw, Christopher J. Shaw CRD #5011382 Christopher Shaw is a formerly licensed financial advisor with Kalos Capital, Inc. According to Christopher Shaw’s CRD, a customer disputes was filed alleging sales practice violations against Christopher Shaw. …

Joseph Roop – Customer Disputes Filed Involving Financial Advisor/Broker Joseph Roop Joseph Roop CRD #2774470 Joseph Roop is a formerly licensed financial advisor with Kalos Capital, Inc. According to Joseph Roop’s CRD, two customer disputes have been recently filed alleging sales practice violations against Joseph Roop.   Customer Dispute 7/8/19: Client alleges unsuitable investments in alternative securities (REITS, etc.) during …

Thomas Stappas – Financial Advisor/Broker Thomas Stappas Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Thomas Stappas CRD #855198 Thomas Stappas was a formerly licensed financial advisor/broker with Summit Equities, Inc. According to FINRA, Thomas Stappas was barred from the securities industry in September 2019. According to FINRA: Thomas Stappas consented to the sanction and …

Oasis International Group and Oasis Management, LLC – Commodity Future Trading Commission Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses According to the Commodity Futures Trading Commission Allegations Since 2011, Defendants Oasis International Group, Limited (“OIG”), Oasis Management, LLC (“OM”), Satellite Holdings Company (“Satellite Holdings”), Michael J. DaCorta (“DaCorta”), Joseph S. Anile, II (“Anile”), Raymond P. Montie, …

Ricky Biel – SEC Orders Financial Advisor/Broker to Cease and Desist | Goodman & Nekvasil P.A., May Recover Investor Losses Ricky Biel aka Jaime Biel Financial Advisor/Broker CRD #4123346 Ricky Biel was a previously licensed financial advisor with Arete Wealth Management, LLC. According to the SEC: The Securities and Exchange Commission (“Commission”) deems it appropriate and in the public interest …

Scott Offerman – Financial Advisor/Broker Scott Offerman Resigned from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses Scott Offerman CRD #4619093 Scott Offerman was a formerly licensed financial advisor/broker with Concorde Investment Services, LLC. According to Scott Offerman’s CRD, Scott Offerman was permitted to resign from Concorde Investment Services in April 2017. Concorde Investment Services reported that Scott …

Hobby Barndollar – Customer Dispute Filed Involving Financial Advisor/Broker Hobby Barndollar Hobby Barndollar aka Hugh Barndollar CRD #3027317 Hobby Barndollar is a currently licensed financial advisor with Crown Capital Securities, L.P. According to Hobby Barndollar’s CRD, a customer dispute alleging sales practice violations against Hobby Barndollar is currently pending. Customer Dispute 7/18/19: Claimant alleges negligence in the handling of their …