Daniel Soliman, Financial Advisor Daniel Soliman Barred from Securities Industry by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Daniel Soliman CRD #6053300 Daniel Soliman was a formerly licensed financial advisor with J.P. Morgan Securities LLC. According to Daniel Soliman ’s CRD, Daniel Soliman was barred from the securities industry in June 2019. According to Daniel Soliman’s CRD, …

Rick Pittman – Customer Disputes Pending Involving Financial Advisor Rick Pittman | Goodman & Nekvasil P.A., May Recover Losses Rick Pittman aka Richard Pittman Financial Advisor CRD #2845145 Rick Pittman is a currently licensed financial advisor with Cetera Advisors LLC. Rick Pittman was formerly licensed with Investors Capital Corp.  According to Rick Pittman’s CRD, three customer disputes alleging sales practice …

Fred Brown, Financial Advisor Fred Brown Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Fred Brown Financial Advisor CRD #1175385 Fred Brown was a formerly licensed financial advisor with Merrill Lynch. According to Fred Brown’s CRD, Fred Brown was suspended from the securities industry in July 2019 and fined $12,500. According to FINRA Allegations: Fred …

Mike Dawson – Customer Dispute Pending Involving Financial Advisor Mike Dawson | Goodman & Nekvasil P.A., May Recover Losses Mike Dawson aka Michael Dawson Financial Advisor CRD #62907 Mike Dawson is a currently licensed financial advisor with UBS Financial Services, Inc. Mike Dawson was formerly licensed with Deutsche Bank Securities, Inc. According to Mike Dawson’s CRD, a customer dispute alleging …

Donald Fowler, Financial Advisor Donald Fowler Charged by SEC | Goodman & Nekvasil P.A., May Recover Investor Losses Donald Fowler CRD #4989632 Donald Fowler is a currently licensed financial advisor with Worden Capital Management, LLC. Donald Fowler was previously licensed with J.D. Nicholas & Associates, Inc. According to Donald Fowler’s CRD, the Securities and Exchange Commission charged two New York-based …

Alexander White and Paul Vandivier – Complaint Filed by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to Allegations by the SEC From approximately October 2012 until approximately January 2016, Defendants, Alexander Charles White and Paul Douglas Vandivier, solicited investors and managed other sales agents who solicited and raised money from investors in unregistered, fraudulent securities offerings …

Positronic Farms – Complaint Filed by State of Massachusetts | Goodman & Nekvasil P.A. May Recover Investor Losses According to Allegations Filed by the State of Massachusetts On January 23, 2017, David A. Caputo (“Caputo”) founded Positronic Farms, Inc., located in Holyoke, Massachusetts. Positronic Farms intended to engage in the cultivation of recreational cannabis and purports to lease part of …

Donald Laguardia – Complaint Filed by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to SEC Allegations Beginning in at least 2013 and continuing to at least May 2017, LaGuardia, who controlled the unregistered investment adviser L-R Managers, LLC (“L-R Managers” or the “Firm”), perpetrated a three-pronged scheme to defraud private investment funds, which were managed by …

Todd Lamberty – Customer Dispute Pending Involving Financial Advisor Todd Lamberty | Goodman & Nekvasil P.A., May Recover Losses Todd Lamberty Financial Advisor CRD #4155573 Todd Lamberty is a currently licensed financial advisor with Newbridge Securities Corporation. Todd Lamberty was formerly licensed with Questar Capital Corporation. According to Todd Lamberty’s CRD, a customer dispute alleging sales practice violations against Todd …

Gregory P. Washington (Greg Washington) – Customer Dispute Filed Involving Financial Advisor/Broker Greg Washington | Goodman & Nekvasil P.A. May Recover Investor Losses Gregory P Washington (Greg Washington) CRD #5420613 Greg Washington is a currently licensed financial advisor/broker with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Greg Washington was a formerly licensed financial advisor/broker with Aegis Capital Corp. and Spartan …