UBS Yield Enhancement Strategies | Goodman & Nekvasil P.A. May Recover Investor Losses According to the Wall Street Journal: Yield Enhancement Strategy (YES) is a complex investment strategy pitched as low-risk by stockbrokers at UBS Group. According to the WSJ, YES, has generated at least $60 million in losses for clients and more than two dozen customer complaints, according to …

Jersey Consulting LLC – SEC Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Allegations Jersey Consulting LLC (“Jersey”) is a Nevada limited liability company organized on April 29, 2014, and which ostensibly engages in mining and/or ore processing activity. Jersey’s principal place of business is in West Jordan, Utah. Jersey is owned and …

Lawrence E Hagedorn (Lawrence Hagedorn) Financial Advisor/Broker Lawrence Hagedorn Charged with Theft by Deception | Goodman & Nekvasil, P.A. May Recover Investor Losses Lawrence E Hagedorn (Lawrence Hagedorn) CRD #1794077 According to Lawrence Hagedorn’s BrokerCheck Report: Lawrence Hagedorn was a previously licensed financial advisor/broker with The O.N. Equity Sales Company. According to Lawrence Hagedorn’s BrokerCheck report, Lawrence Hagedorn was barred …

Marty Batstone – Financial Advisor/Broker Marty Batstone Investigated by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Marty Batstone CRD #4299561 Marty Batstone was a formerly licensed financial advisor with Newbridge Securities Corporation, Crown Capital Securities LP and Independent Financial Group LLC. According to FINRA:   Wells Notice examination #20190612052: FINRA made a preliminary determination to recommend that …

Stephen Robert Williams – Financial Advisor/Broker Stephen Robert Williams Barred from Securities Industry Stephen Robert Williams CRD #4299561 Stephen Robert Williams was a formerly licensed financial advisor with LPL Financial LLC. According to FINRA, Stephen Robert Williams was barred from the securities industry in November 2018.   According to FINRA:   Stephen Robert Williams failed to respond to FINRA request …

William Schumann – Customer Disputes Filed Involving Financial Advisor/Broker William Schumann | Goodman & Nekvasil, P.A. May Recover Investor Losses William Schumann CRD #1604894 William Schumann is a licensed financial advisor with H. Beck, Inc. According to William Schumann’s CRD, customer disputes have been filed alleging sales practice violations against William Schumann. Customer Dispute 2/8/19:  Client alleges losses arising from …

Dan King – Customer Disputes Filed Involving Financial Advisor/Broker Dan King | Goodman & Nekvasil, P.A. May Recover Investor Losses Dan King CRD #5954543 Dan King is a licensed financial advisor with Benchmark Investments, Inc. Dan King was previously licensed with Newbridge Securities Corporation. According to Dan King’s CRD, customer disputes has been filed alleging sales practice violations against Dan …

Raleigh Kraft – Financial Advisor/Broker Raleigh Kraft Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Raleigh Kraft CRD #1036719 Raleigh Kraft is a currently licensed financial advisor with H. Beck, Inc. Raleigh Kraft was previously licensed with Wells Fargo Financial Network.   According to FINRA, Raleigh Kraft was suspended from the securities industry for two …

Richard Reynolds – Customer Disputes Filed Involving Financial Advisor/Broker Richard Reynolds | Goodman & Nekvasil, P.A. May Recover Investor Losses Richard Reynolds CRD #2162706 Richard Reynolds is a currently licensed financial advisor/broker with Worden Capital Management LLC. Richard Reynolds was a previously licensed financial advisor/broker with Rockwell Global Capital LLC. According to Richard Reynolds’ CRD, customer disputes has been filed …