Timothy Prouty, Arbitration Claim Filed Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Timothy Prouty CRD #4928098 Timothy Prouty has been licensed with Morgan Stanley since 2009. According to Timothy Prouty’s CRD, Timothy Prouty was a subject of the customer’s complaint against Timothy Prouty’s member firm that asserted the following causes of action: suitability; deceptive trade …

Curtis Ile, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Curtis Ile CRD #4009787 Curtis Ile was a formerly licensed financial advisor with Ameritas Investment Corp and Sigma Financial Corporation. FINRA reports that Curtis Ile was suspended from the securities industry in June 2019. According to FINRA: Curtis Ile consented to the sanction …

Jacob Kagele, Three Customer Disputes Filed Involving Financial Advisor Jacob Kagele | Goodman & Nekvasil P.A., May Recover Investor Losses Jacob Kagele CRD #4606475 Jacob Kagele was previously licensed with Mutual Securities, Inc. According to Jacob Kagele’s CRD, three customer disputes have been filed alleging sales practice violations against Jacob Kagele. According to Jacob Kagele’s CRD, these allegations include breach …

Aaron Brodt, Three Customer Disputes Settled Involving Financial Advisor Aaron Brodt | Goodman & Nekvasil P.A., May Recover Investor Losses Aaron Brodt, Aaron Paul Brodt CRD #5017914 Aaron Brodt was previously licensed with Peachcap Securities, Inc. and Accelerated Capital Group. According to Aaron Brodt’s CRD, three customer disputes have been filed alleging sales practice violations against Aaron Brodt. According to …

Eric Shanks – Arbitration Claim Filed Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses Eric Shanks, Eric Olin Shanks CRD #2724083 Eric Shanks was previously licensed with Cuso Financial Services, L.P. According to Eric Shanks’s CRD, an arbitration claim was filed alleging Eric Shanks solicited client to purchase unapproved investments away from the firm through a third …

Becky Woo, Financial Advisor Becky Woo Barred by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Becky Woo CRD #4022781 Becky Woo was previously licensed with Citigroup Global Markets, Inc. According to Becky Woo’s CRD, Becky Woo was barred from the securities industry by FINRA in July 2017. According to FINRA, Becky Woo allegedly failed to respond to …

Bruce Slater, Three Arbitration Claims Settled Involving Financial Advisor Bruce Slater | Goodman & Nekvasil P.A., May Recover Investor Losses Bruce Slater a/k/a Bruce Albert Slater CRD #1547792 Bruce Slater is currently licensed with Sagepoint Financial, Inc. Bruce Slater was previously licensed with Transamerica Financial Advisors, Inc. According to Bruce Slater’s CRD, three arbitration claims were filed alleging unsuitability and/or …

Brett Bacon, Arbitration Claim Filed Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Brett Bacon, Brett Michael Bacon CRD #6080375 Brett Bacon is currently licensed with CFD Investments, Inc. Brett Bacon was previously licensed with Waddell & Reed. According to Brett Bacon’s CRD, an arbitration claim was filed alleging misrepresentations, omissions, breach of fiduciary duty, fraud, …

Gary Hammond, Financial Advisor Gary Hammond Discharged from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses Gary Hammond a/k/a Gary Wayne Hammond CRD #2660432 Gary Hammond was previously licensed with Hornor, Townsend & Kent, Inc., MML Investors Services, LLC and MSI Financial Services, Inc. According to Gary Hammond’s CRD, Gary Hammond was discharged from MML Investors Services, LLC …

Katherine Nishnic – Three Customer Disputes Pending Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses Katherine Nishnic CRD #2499553 Katherine Nishnic has been licensed with Centaurus Financial, Inc. in South Carolina since 2015. Katherine Nishnic was previously licensed with J.P. Turner & Company, LLC. According to Katherine Nishnic’s CRD, two customer disputes have been filed alleging sales …