Robert Montes, Financial Advisor Robert Montes Barred from Securities Industry by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Robert Montes CRD #835488 Robert Montes was a formerly licensed financial advisor with Wells Fargo Advisors, LLC. According to FINRA, Robert Montes was barred from the securities industry in July 2019. According to FINRA, Robert Montes violated FINRA Rules …
Michael Garris – Financial Advisor Michael Garris Discharged from Firm
Michael Garris – Financial Advisor Michael Garris Discharged from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Garris Financial Advisor CRD #1540384 Michael Garris is a formerly licensed financial advisor with Wells Fargo. According to Michael Garris’ CRD, Michael Garris was discharged from Wells Fargo in June 2018. According to Michael Garris’ CRD, Wells Fargo Clearing Services, …
Joseph Eckhoff, Financial Advisor Joseph Eckhoff Barred from Securities Industry by FINRA
Joseph Eckhoff, Financial Advisor Joseph Eckhoff Barred from Securities Industry by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Joseph Eckhoff CRD #6703549 Joseph Eckhoff was a formerly licensed financial advisor with Farmers Financial Solutions, LLC. According to FINRA, Joseph Eckhoff was barred from the securities industry in July 2019. According to FINRA, Joseph Eckhoff violated FINRA Rules …
Joseph Yanofsky – Financial Advisor Joseph Yanofsky Discharged from Firm | Goodman & Nekvasil, PA May Recover Investor Losses
Joseph Yanofsky – Financial Advisor Joseph Yanofsky Discharged from Firm | Goodman & Nekvasil, PA May Recover Investor Losses Joseph Yanofsky CRD #870054 From 1990 until his firing in 2015, Joseph Yanofsky was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to FINRA’s records, Joseph Yanofsky was fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated on May …
Sampson Pearson, Financial Advisor Sampson Pearson Barred from Securities Industry by FINRA
Sampson Pearson, Financial Advisor Sampson Pearson Barred from Securities Industry by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Sampson Pearson CRD #4159298 Sampson Pearson was a formerly licensed financial advisor with Northwestern Mutual Investment Services, LLC. According to Sampson Pearson’s CRD, Sampson Pearson was barred from the securities industry in September 2017. According to Sampson Pearson’s CRD, …
David Fleming, Financial Advisor David Fleming Discharged from Firm
David Fleming, Financial Advisor David Fleming Discharged from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses David Fleming Financial Advisor CRD #1021968 David Fleming is a formerly licensed financial advisor with Stifel, Nicolaus & Company, Incorporated, Sterne, Agee & Leach, Inc. and Deutsche Bank Securities, Inc. According to David Fleming ’s CRD, David Fleming was discharged from Stifel …
Kentucky-Tennessee 50 Wells/400 BBLPD Block, Limited Partnership (K-T 50 Wells) – SEC Announces Charges
Kentucky-Tennessee 50 Wells/400 BBLPD Block, Limited Partnership (K-T 50 Wells) – SEC Announces Charges | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC: The Securities and Exchange Commission announced charges against a purported oil well company, its founders, and three salespeople in connection with a $2.4 million offering fraud. The SEC’s complaint, filed in U.S. District …
Eric Savell, Financial Advisor Eric Savell Previously Suspended from Securities Industry
Eric Savell, Financial Advisor Eric Savell Previously Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Eric Savell CRD #4182368 Eric Savell was a formerly licensed financial advisor with LPL Financial LLC. According to FINRA, Eric Savell was previously suspended from the securities industry for five months and fined $10,000 in July 2019. According to FINRA …
Thomas Marino – Customer Dispute Filed Involving Financial Advisor/Broker Thomas Marino
Thomas Marino – Customer Dispute Filed Involving Financial Advisor/Broker Thomas Marino | Goodman & Nekvasil PA May Recover Investor Losses Thomas Marino a/k/a Thomas John Marino Financial Advisor/Broker CRD #4438533 Thomas Marino was a formerly licensed financial advisor/broker with R.M. Stark & Co., Inc. According to Thomas Marino’s CRD, a customer dispute alleging sales practice violations against Thomas Marino was …
Jeffrey Noard – Financial Advisor Jeffrey Noard Previously Suspended from Securities Industry
Jeffrey Noard, Financial Advisor Jeffrey Noard Previously Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Jeffrey Noard CRD #1983392 Jeffrey Noard is a currently licensed financial advisor with Cabot Lodge Securities, LLC. According to Jeffrey Noard’s CRD, Jeffrey Noard was suspended from the securities industry for 10 days in July 2017. According to FINRA: Jeffrey …