Stanley Trilling, Customer Dispute Settled Involving Financial Advisor Stanley Trilling | Goodman & Nekvasil P.A., May Recover Losses Stanley Trilling CRD #449321 Stanley Trilling is a formerly licensed financial advisor with Morgan Stanley and Credit Suisse Securities (USA) LLC. According to Stanley Trilling’s CRD, a customer dispute alleging sales practice violations against Stanley Trilling have been settled. Customer Dispute 09/26/15: …

Alexander Brown, Financial Advisor Alexander Brown Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Alexander Brown CRD #31944 Alexander Brown was formerly licensed with Capital Portfolio Management, Inc. and Chapin Davis. According to Alexander Brown’s CRD, Alexander Brown was suspended from the securities industry and fined $2,500 in August 2016. FINRA Alleges That: Alexander Brown …

Eric Leeper Swenson (Eric Swenson), Financial Advisor/Broker Eric Swenson Previously Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Eric Leeper Swenson (Eric Swenson) CRD #3263767 Eric Swenson was formerly licensed with PNC Investments from 2014 to 2016. According to Eric Swenson’s CRD, Eric Swenson was suspended from the securities industry for nine months and fined …

David Holz, Three Customer Dispute Settled Involving Financial Advisor David Holz | Goodman & Nekvasil P.A., May Recover Losses David Holz CRD #2488092 David Holz is a currently licensed financial advisor with Stifel, Nicolaus & Company, Incorporated. According to David Holz’ CRD, three customer dispute alleging sales practice violations against David Holz have been settled. Customer Dispute 09/01/17: Claimants allege …

Steve Callari, Customer Dispute Filed Involving Financial Advisor Steve Callari | Goodman & Nekvasil P.A., May Recover Losses Steve Callari CRD #2299447 Steve Callari is a currently licensed financial advisor with Merrill Lynch. According to Steve Callari’s CRD, a customer dispute has been filed alleging sales practice violations against Steve Callari. Customer Dispute 06/14/16:  The Customer alleges unsuitable investment recommendations …

Wonnie Short, Financial Advisor Wonnie Short Barred from Securities Industry by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Wonnie Short CRD #2243627 Wonnie Short was a formerly licensed financial advisor with Raymond James & Associates, Inc. According to Wonnie Short’s CRD, Wonnie Short was barred from the securities industry in May 2016. According to Wonnie Short ’s …

Nancy Daoud, Customer Dispute Filed Involving Financial Advisor Nancy Daoud | Goodman & Nekvasil P.A., May Recover Losses Nancy Daoud CRD #1073514 Nancy Daoud is a currently licensed financial advisor with Ameriprise Financial Services, Inc. According to Nancy Daoud’s CRD, a customer dispute has been filed alleging sales practice violations against Nancy Daoud.   Customer Dispute 06/22/17:  The client alleged …

Sean Logue, Four Customer Disputes Filed Involving Financial Advisor Sean Logue | Goodman & Nekvasil P.A., May Recover Losses Sean Logue CRD #2905209 Sean Logue is a currently licensed financial advisor with Hennion & Walsh, Inc. According to Sean Logue’s CRD, four customer disputes have been filed alleging sales practice violations against Sean Logue. Customer Dispute 09/04/18:  Third party agent …

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 …