William Gordon, Arbitration Claim Pending Involving Financial Advisor William Gordon | Goodman & Nekvasil P.A., May Recover Losses William Gordon CRD #2127800 William Gordon is currently licensed with Capital Financial Services, Inc. According to William Gordon’s CRD, an arbitration claim alleging sales practice violations against William Gordon is pending with clients alleging unsuitability, misrepresentation and omissions, and breach of fiduciary …

Steve Klinger, Financial Advisor Steve Klinger Discharged from Wells Fargo Clearing Services, LLC | Goodman & Nekvasil P.A., May Recover Investor Losses Steve Klinger CRD #1294139 Steve Klinger was a previously licensed financial advisor with Wells Fargo Clearing Services LLC from 2002 to 2019. According to Steve Klinger’s CRD, Steve Klinger was discharged from Wells Fargo Clearing Services, LLC in …

Howard Slater, Arbitration Claim Pending Involving Financial Advisor Howard Slater | Goodman & Nekvasil P.A., May Recover Losses Howard Slater CRD #2447823 Howard Slater is currently licensed with Securities America, Inc. According to Howard Slater’s CRD, an arbitration claim alleging sales practice violations against Howard Slater are pending. According to Howard Slater’s CRD, these allegations include that Howard Slater allegedly …

Robert Mehlin, Financial Advisor Robert Mehlin Discharged from Wells Fargo Advisors Financial Network | Goodman & Nekvasil P.A., May Recover Investor Losses Robert Mehlin CRD #736694 Robert Mehlin is a currently licensed financial advisor with Coastal Equities, Inc. Robert Mehlin was previously licensed with Wells Fargo Advisors Financial Network and Morgan Stanley. According to Robert Mehlin’s CRD, Robert Mehlin was …

William Ornstein, Arbitration Claims Pending Involving Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses William Ornstein CRD #500470 William Ornstein is currently licensed with The GMS Group, LLC. According to William Ornstein’s CRD, two arbitration claims alleging sales practice violations against William Ornstein are pending. According to William Ornstein’s CRD, these allegations include negligence, breach of fiduciary duty, …

John Egan, Arbitration Claim Filed Involving Financial Advisor John Egan | Goodman & Nekvasil P.A., May Recover Losses John Egan CRD #818750 John Egan is a currently licensed financial advisor with Newbridge Securities Corporation.  According to John Egan’s CRD, an arbitration claim was filed alleging unsuitable investments and strategy, breach of fiduciary duty, negligence and failure to supervise. According to …

Zak Chivi, Arbitration Claim Filed Alleging Sales Practice Violations | Goodman & Nekvasil P.A., May Recover Investor Losses Zak Chivi, Zakkour Chivi CRD #1987360 Zak Chivi is a currently licensed financial advisor with Ameriprise Financial Services, Inc. Zak Chivi was previously licensed with Wells Fargo Advisors LLC. According to Zak Chivi’s CRD, an arbitration claim was filed alleging misrepresentation, misconduct, …

Joel Benanti, Financial Advisor Joel Benanti Discharged from Joseph Stone Capital, LLC | Goodman & Nekvasil P.A., May Recover Investor Losses Joel Benanti CRD #4210681 Joel Benanti is a currently licensed financial advisor with Laidlaw & Company (UK) Ltd. Joel Benanti was previously licensed with Worden Capital Management LLC and Joseph Stone Capital LLC. According to Joel Benanti’s CRD, Joel …

Dick Sladek, Financial Advisor Dick Sladek Discharged from Merrill Lynch | Goodman & Nekvasil P.A., May Recover Investor Losses Dick Sladek CRD #426080 Dick Sladek was a formerly licensed financial advisor with Merrill Lynch from 1978 to 2017. According to Dick Sladek’s CRD, Dick Sladek was discharged from Merrill Lynch in August 2017 relating to alleged conduct involving business practices …

Prestige Global Trading, Ltd., Diversified Initiatives Consulting & Logistics and Sienna Business Group, Inc. – SEC Charges with Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses Prestige Global Trading, Ltd., Diversified Initiatives Consulting & Logistics and Sienna Business Group, Inc. Charged with Fraud On June 4, 2019, the Securities and Exchange Commission charged Peter Baker, of Lawrenceville, Georgia, …