Michael Sims – Customer Disputes Filed Involving Financial Advisor/Broker Michael Sims | Goodman & Nekvasil, P.A. May Recover Investor Losses Michael Sims CRD #1034180 Michael Sims is a previously licensed financial advisor/broker with Wedbush Securities, Inc. According to Michael Sims’ CRD, customer disputes has been filed alleging sales practice violations against Michael Sims: Customer Dispute 8/13/19: Client represents excessive trading, …
Bruce Jordan – Financial Advisor/Broker Bruce Jordan Suspended from Securities Industry
Bruce Jordan – Financial Advisor/Broker Bruce Jordan Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Bruce Jordan CRD #1223556 Bruce Jordan is a currently licensed financial advisor with Newbridge Securities Corporation. According to FINRA, Bruce Jordan was suspended from the securities industry for two months and fined $5,000 in September 2019. According to FINRA Allegations: …
John Boatright – Customer Dispute Filed Involving Financial Advisor/Broker John Boatright | Recover Losses
John Boatright – Customer Dispute Filed Involving Financial Advisor/Broker John Boatright | Recover Losses John Boatright aka John Richard Boatright CRD #2545676 John Boatright a/k/a John Richard Boatright is a previously licensed financial advisor/broker with Newbridge Securities Corporation, Summit Brokerage Services, Inc., and J.P. Turner & Company, LLC. According to John Boatright’s CRD, a customer dispute has been filed alleging …
Kadaae LLC and Ahead of the Game LLC – SEC Files Charges Against Principals
Kadaae LLC and Ahead of the Game LLC – SEC Files Charges Against Principals | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Allegations The Securities and Exchange Commission announced that it filed charges against the Florida-based principals of several music entertainment companies for conducting two multi-million dollar offering frauds and Ponzi schemes. According to the …
Social Voucher.com, Inc. – SEC Files Complaint for Injunctive Relief
Social Voucher.com, Inc. – SEC Files Complaint for Injunctive Relief | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC Allegations: From at least June 2013 through at least June 2018, Defendant Gerald C. Parker (“Defendant” or “Parker”), president and CEO of Social Voucher.com, Inc. (“Social Voucher’), raised approximately $20.5 million from about 400 investors through an …
Joseph Pratt – Financial Advisor/Broker Joseph Pratt Barred from Securities Industry
Joseph Pratt – Financial Advisor/Broker Joseph Pratt Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Joseph Pratt CRD #719416 Joseph Pratt is a currently licensed financial advisor with Stifel, Nicolaus & Company, Inc. According to FINRA, Joseph Pratt was barred from the securities industry in September 2019. According to FINRA: From at least 2013 …
John Wyshak – Customer Disputes Filed Involving Financial Advisor/Broker John Wyshak
John Wyshak – Customer Disputes Filed Involving Financial Advisor/Broker John Wyshak | Goodman & Nekvasil, P.A. May Recover Investor Losses John Wyshak CRD #1272260 John Wyshak is a previously licensed financial advisor/broker with Raymond James & Associates, Inc. According to John Wyshak’s CRD, customer disputes have been filed alleging sales practice violations against John Wyshak. Customer Dispute 8/19/19: Alleged unauthorized …
Brian Rieman – Customer Disputes Filed Involving Financial Advisor/Broker Brian Rieman
Brian Rieman – Customer Disputes Filed Involving Financial Advisor/Broker Brian Rieman | Goodman & Nekvasil, P.A. May Recover Investor Losses Brian Rieman CRD #4427713 Brian Rieman is a currently licensed financial advisor/broker with Hennion & Walsh, Inc. According to Brian Rieman’s CRD, customer disputes have been filed alleging sales practice violations against Brian Rieman. Customer Dispute 7/31/18: Alleged unsuitable investments …
Jason Figueroa – Financial Advisor/Broker Jason Figueroa Barred from Securities Industry
Jason Figueroa – Financial Advisor/Broker Jason Figueroa Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Jason Figueroa CRD #5062799 Jason Figueroa was a formerly licensed financial advisor/broker with The GMS Group, LLC. According to FINRA, Jason Figueroa was barred from the securities industry in October 2015. According to FINRA: Jason Figueroa consented to the sanction …
Marc Korsch – Customer Disputes Filed Involving Financial Advisor/Broker Marc Korsch
Marc Korsch – Customer Disputes Filed Involving Financial Advisor/Broker Marc Korsch | Goodman & Nekvasil, P.A. May Recover Investor Losses Marc Korsch CRD #552522 Marc Korsch is a currently licensed broker with Cenaturus Financial, Inc. Marc Korsch was previously licensed with Trustmont Financial Group, Inc. Publicly available records indicate that Florida-based Centaurus Financial broker/advisor, Mark Korsch, is involved in pending …