Brian Exford, Financial Advisor Brian Exford Barred from Securities Industry by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Brian Exford CRD #4547460 Brian Exford was a formerly licensed financial advisor with State Farm VP Management Corp. According to Brian Exford’s CRD, Brian Exford was barred from the securities industry in March 2015. According to Brian Exford’s CRD, …

Nicholas Barrios – Financial Advisor Nicholas Barrios Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Nicholas Barrios CRD #2122824 Nicholas Barrios was a previously licensed financial advisor with UBS Financial Services, Inc. According to FINRA, Nicholas Barrios was barred from the securities industry in June 2019. ACCORDING TO FINRA: Nicholas Barrios consented to the sanction …

Nina Jessee – Financial Advisor Nina Jessee Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Nina Jessee CRD #1484808 Nina Jessee was a previously licensed financial advisor with Cetera Advisors LLC and Investors Capital Corp. According to FINRA, Nina Jessee was barred from the securities industry in June 2019. ACCORDING TO FINRA: Nina Jessee consented …

Ethan De Naray, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Ethan De Naray CRD #4571532 Ethan De Naray is a currently licensed financial advisor with Feltl & Company. Ethan De Naray was previously licensed with Merrill Lynch. FINRA reports that Ethan De Naray was suspended from the securities industry in September 2018. …

Christel Sparks – Financial Advisor Christel Sparks Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Christel Sparks CRD #2147336 Christel Sparks was a previously licensed financial advisor with Nationwide Investment Services Corporation. According to FINRA, Christel Sparks was barred from the securities industry in November 2016. ACCORDING TO FINRA: Christel Sparks consented to the sanctions …

Robert Armstrong, Seven Customer Disputes Filed Involving Financial Advisor Robert Armstrong | Goodman & Nekvasil P.A., May Recover Losses Robert Armstrong CRD #5236735 Robert Armstrong is a currently licensed financial advisor with Dawson James Securities, Inc. According to Robert Armstrong’s CRD, seven customer disputes have been filed alleging sales practice violations against Robert Armstrong. Customer Dispute 01/14/19:  Allegations include material …

Barbara Kenerson, Customer Dispute Filed Involving Financial Advisor Barbara Kenerson | Goodman & Nekvasil P.A., May Recover Losses Barbara Kenerson CRD #1060984 Barbara Kenerson was a formerly licensed financial advisor with Janney Montgomery Scott LLC. According to Barbara Kenerson’s CRD, a customer dispute has been filed alleging sales practice violations against Barbara Kenerson. Customer Dispute 01/04/19:  Client through her attorney …

Thomas von Reckers, Customer Dispute Filed Involving Financial Advisor Thomas Von Reckers | Goodman & Nekvasil P.A., May Recover Losses Thomas Von Reckers CRD #704779 Thomas von Reckers has been a licensed financial advisor with Summit Brokerage Services, Inc. since 2018. Thomas von Reckers was previously licensed with Wells Fargo Advisors Financial Network. According to Thomas von Reckers’ CRD, a …

Daniel Reilly, Financial Advisor Daniel Reilly Discharged from Morgan Stanley | Goodman & Nekvasil P.A., May Recover Investor Losses Daniel Reilly CRD #4752371 Daniel Reilly is a currently licensed financial advisor with Revere Securities LLC. Daniel Reilly was formerly licensed with Morgan Stanley. According to Daniel Reilly’ CRD, Daniel Reilly was discharged from Morgan Stanley in May 2018. According to …

Gilbert Kuta, Customer Dispute Filed Involving Financial Advisor Gilbert Kuta | Goodman & Nekvasil P.A., May Recover Losses Gilbert Kuta CRD #1084075 Gilbert Kuta has been a licensed financial advisor with Capitol Securities Management, Inc. since 2009. According to Gilbert Kuta’s CRD, a customer dispute has been filed alleging sales practice violations against Gilbert Kuta. Customer Dispute 01/31/14:  Client alleged …