Steven Roffman, Financial Advisor Steven Roffman Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Steven Roffman CRD #1673527 Steven Roffman is a currently licensed financial advisor with IFS Securities. Steven Roffman was previously licensed with Ameriprise Financial Services, Inc. and Raymond James & Associates, Inc. According to Steven Roffman’s CRD, Steven Roffman was suspended from …

John Busco Customer Dispute Pending Involving Financial Advisor John Busco | Goodman & Nekvasil P.A., May Recover Losses John Busco CRD #825869 John Busco is a currently licensed financial advisor with Laidlaw & Company (UK) Ltd. John Busco was formerly licensed with Morgan Stanley. According to John Busco’s CRD, a customer dispute alleging sales practice violations against John Busco has …

Clean Energy Advisors – Ponzi Scheme Founder Sentenced to Prison | Goodman & Nekvasil P.A. May Recover Investor Losses According to the U.S. Attorney’s Office:   Christopher B. Warren, 50, of Anthony, Florida was sentenced yesterday to nine years in federal prison for operating a multi-million-dollar Ponzi scheme, announced U.S. Attorney Don Cochran for the Middle District of Tennessee.  Warren …

Mark Blankespoor – Charged with 12 Counts of Mail Fraud and Wire Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses According to the Indictment Mark Blankespoor was a health coach and consultant in Pella. Mark Blankespoor represented to others he was involved in developing medically oriented gyms and licensed the program to fitness clinics across the United States. …

Leonard McAbee Customer Disputes Pending Involving Financial Advisor Leonard McAbee | Goodman & Nekvasil P.A., May Recover Losses Leonard McAbee CRD #2066347 Leonard McAbee was a formerly licensed financial advisor with National Securities Corporation. According to Leonard McAbee’s CRD, two customer disputes alleging sales practice violations against Leonard McAbee has been filed.  Customer Dispute 12/14/2018: Allegations include unauthorized trading, breach …

Michael Lucas, Customer Dispute Settled Involving Financial Advisor Michael Lucas | Goodman & Nekvasil P.A., May Recover Losses Michael Lucas CRD #5695141 Michael Lucas is currently licensed with MML Investors Services, LLC. According to Michael Lucas’ CRD, a customer dispute alleging sales practice violations against Michael Lucas has been filed.  Customer Dispute 10/24/2018: The complainant alleges that Michael Lucas intentionally …

James Mellette, Customer Dispute Pending Involving Financial Advisor James Mellette | Goodman & Nekvasil P.A., May Recover Losses James Mellette CRD #2803629 James Mellette is currently licensed with Merrill Lynch. According to James Mellette’s CRD, a customer dispute alleging sales practice violations against James Mellette has been filed.  Customer Dispute 12/12/2018:  The customer alleges unsuitable investment recommendations from September 1, …

Thomas Zimmerman, Financial Advisor Thomas Zimmerman Discharged from Edward Jones | Goodman & Nekvasil P.A., May Recover Investor Losses Thomas Zimmerman CRD #4517647 Thomas Zimmerman is a formerly licensed financial advisor Edward Jones. According to Thomas Zimmerman’ CRD, Thomas Zimmerman was discharged from Edward Jones in August 2018. According to Thomas Zimmerman’s CRD, Thomas Zimmerman was discharged after alleged concerns …

John Lenarz, Financial Advisor John Lenarz Discharged from Wells Fargo | Goodman & Nekvasil P.A., May Recover Investor Losses John Lenarz CRD #4059696 John Lenarz is a formerly licensed financial advisor with Wells Fargo. According to John Lenarz’ CRD, John Lenarz was discharged from Wells Fargo in March 2019. According to John Lenarz’ CRD, John Lenarz was discharged after a …

Patrick Foley, Financial Advisor Patrick Foley Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Patrick Foley CRD #6682164 Patrick Foley is a formerly licensed financial advisor Merrill Lynch. According to Patrick Foley’ CRD, Patrick Foley was discharged from Merrill Lynch in January 2018. According to Patrick Foley’s CRD, Patrick Foley was discharged after allegedly accepting …