Eric Nichols – Financial Advisor/Broker Eric Nichols Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Eric Nichols Financial Advisor/Broker CRD #2710703 Eric Nichols was a formerly licensed financial advisor with Morgan Stanley. FINRA reports that Eric Nichols was suspended from the securities industry in August 2019. According to FINRA: Eric Nichols consented to the sanctions …

Norman Gary Price – Financial Advisor Barred from Securities Industry by SEC | Goodman & Nekvasil P.A., May Recover Investor Losses Norman Gary Price aka Gary Price CRD #2406981 Norman Price was a formerly licensed financial advisor with RP Capital LLC. According to Norman Gary Price’s CRD, Norman Gary Price was barred from the securities industry in July 2019. According …

Eddie Lyons – Financial Advisor Eddie Lyons Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Eddie Lyons aka James Edward Lyons CRD #1020397 James Lyons was licensed with Raymond James & Associates, Inc. from 2013 to 2017. James Lyons was discharged from Raymond James & Associates, Inc. on April 28, 2017. Raymond James & Associates, Inc. …

Michael Lee, Financial Advisor Michael Lee Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Lee CRD #4502893 Michael Lee was a formerly licensed financial advisor with Commonwealth Financial Network, Kestra Investment Services, LLC and Morgan Stanley. According to FINRA, Michael Lee was suspended from the securities industry for one year and fined $12,500 in …

Stephen Whiting, Financial Advisor Stephen Whiting Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Stephen Whiting CRD #1752042 Stephen Whiting is a currently licensed financial advisor with Sigma Financial Corporation and Parkland Securities, LLC. Stephen Whiting was previously licensed with Concorde Investment Services, LLC. According to FINRA, Stephen Whiting was suspended from the securities industry …

J & L Real Estate Group – Complaint Filed by SEC Against Owner | Goodman & Nekvasil P.A. May Recover Investor Losses According to SEC Allegations J&L Real Estate Group, LLC (“J&L”) is a Utah limited liability company controlled by Landon Smith. Landon Smith ran his Ponzi scheme through his J&L account at America First Federal Credit Union. J&L has …

Brian DiJulio, Financial Advisor Brian DiJulio Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Brian DiJulio CRD #1647694 Brian DiJulio was a formerly licensed financial advisor with NBC Securities, Inc. and JHS Capital Advisors, LLC. According to FINRA, Brian DiJulio was previously suspended from the securities industry for three months and fined $7,500 in July …

Ryan Lee – Financial Advisor Ryan Lee Discharged from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses Ryan Lee Financial Advisor CRD #4169548 Ryan Lee is a currently licensed financial advisor with Santander Securities LLC. Ryan Lee was formerly licensed with Fidelity Brokerage Services LLC. According to Ryan Lee’s CRD, Ryan Lee was discharged from Fidelity Brokerage Services …

Dana Vietor – Financial Advisor Dana Vietor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Dana Vietor Financial Advisor/Broker CRD #873129 Dana Vietor was a previously licensed financial advisor/broker with CFD Investments, Inc. David Vietor is currently employed with SRS Holdings. According to Dana Vietor’s CRD, Dana Vietor resigned from CFD Investments, Inc. in November …

Shim Plotkin – Customer Dispute Filed Involving Financial Advisor Shim Plotkin | Goodman & Nekvasil, P.A. May Recover Investor Losses Shim Plotkin Financial Advisor CRD #2431863 Shim Plotkin is a currently licensed financial advisor with Independent Financial Group, LLC. According to Shim Plotkin’s CRD, a customer disputes alleging sales practice violations against Shim Plotkin is currently pending. Customer Dispute 6/21/19: …