Dennis Merritt, Financial Advisor Dennis Merritt Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Dennis Merritt CRD #1748115 Dennis Merritt was a formerly licensed financial advisor with J.W. Cole Financial, Inc. According to Dennis Merritt’s CRD, Dennis Merritt was suspended from the securities industry in July 2016. According to FINRA: Dennis Merritt was named a …

Daniel Rozzi – Financial Advisor Daniel Rozzi Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Daniel Rozzi CRD #5319858 Daniel Rozzi was a previously licensed financial advisor with Ashton Stewart & Co., Inc., Metlife, and Oppenheimer & Co. Inc. According to FINRA, Daniel Rozzi was barred from the securities industry in June 2019. ACCORDING TO …

Gary Isler, Three Customer Disputes Filed Involving Financial Advisor Gary Isler | Goodman & Nekvasil P.A., May Recover Losses Gary Isler CRD #1514385 Gary Isler is currently licensed with David Lerner Associates, Inc. According to Gary Isler’s CRD, three customer disputes alleging sales practice violations against Gary Isler has been filed.  Customer Dispute 1/16/2018: Allegations include unsuitability, misrepresentation/omission and breach …

Frank Richardson, Customer Dispute Filed Involving Financial Advisor Frank Richardson | Goodman & Nekvasil P.A., May Recover Losses Frank Richardson CRD #721293 Frank Richardson is currently licensed with Investacorp, Inc. According to Frank Richardson’s CRD, a customer dispute alleging sales practice violations against Frank Richardson has been filed.   Customer Dispute 11/5/2018: Claimants allege that investments were unsuitable at the …

Anthony Williams, Financial Advisor Anthony Williams Discharged from Merrill Lynch | Goodman & Nekvasil P.A., May Recover Investor Losses Anthony Williams CRD #710963 Anthony Williams is a formerly licensed financial advisor Merrill Lynch According to Anthony Williams’ CRD, Anthony Williams was discharged from Merrill Lynch in December 2018. According to Anthony Williams’ CRD, Anthony Williams was discharged after alleged conduct …

Alex Blanco, Customer Dispute Filed Involving Financial Advisor Alex Blanco | Goodman & Nekvasil P.A., May Recover Losses Alex Blanco CRD #3146376 Alex Blanco is currently licensed with MML Investors Services, LLC. Alex Blanco was formerly licensed with Pruco Securities, LLC and Hornor, Townsend & Kent, Inc. According to Alex Blanco’s CRD, a customer dispute alleging sales practice violations against …

Richard Dane, Financial Advisor Richard Dane Discharged from H. Beck, Inc. | Goodman & Nekvasil P.A., May Recover Investor Losses Richard Dane CRD #1591019 Richard Dane is a formerly licensed financial advisor with H. Beck, Inc. According to Richard Dane’ CRD, Richard Dane was discharged from H. Beck, Inc. in August 2018. According to Richard Dane’s CRD, Richard Dane was …

Christopher Conroy, Financial Advisor Christopher Conroy Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Christopher Conroy CRD #1481945 Christopher Conroy is a licensed financial advisor with UBS Financial Services, Inc. According to Christopher Conroy’s CRD, Christopher Conroy was suspended from the securities industry and fined $5,000 in December 2016.   FINRA Alleges That: Christopher Conroy …

Don Ingram, Eight Customer Disputes Settled Involving Financial Advisor Don Ingram | Goodman & Nekvasil P.A., May Recover Losses Don Ingram, Donnie Ingram CRD #1416971 Don Ingram was formerly licensed with Investors Capital Corp. from 1997 to 2016. According to Don Ingram’s CRD, eight customer dispute alleging sales practice violations against Don Ingram have been settled. Recent Disputes: Customer Dispute …

Thomas Braley, Two Customer Disputes Filed Involving Financial Advisor Thomas Braley | Goodman & Nekvasil P.A., May Recover Losses Thomas Braley CRD #1264896 Thomas Braley has been licensed with Wells Fargo Clearing Services, LLC since 2015. According to Thomas Braley’s CRD, two customer disputes alleging sales practice violations against Thomas Braley have been filed. Customer Dispute 03/19/18:  The customer alleges …