Cubby Bice – Two Customer Disputes Pending Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses Cubby Bice, Christopher Bice CRD #3222439 Cubby Bice has been licensed with Sagepoint Financial, Inc. in North Carolina since 2005. According to Cubby Bice’s CRD, two customer disputes have been filed alleging sales practice violations against Cubby Bice. According to Cubby Bice’s …
Ashley Woodard – Five Customer Disputes Filed Against Financial Advisor
Ashley Woodard – Five Customer Disputes Filed Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses Ashley Woodard CRD #4703144 Ashley Woodard has been licensed with NYLife Securities LLC in South Carolina since 2017. Ashley Woodard was previously licensed with IFS Securities and Voya Financial Advisors, Inc. According to Ashley Woodard’s CRD, five customer disputes have been filed …
George Shadie, Financial Advisor George Shadie Discharged from Firm
George Shadie, Financial Advisor George Shadie Discharged from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses George Shadie, CRD #2513286 George Shadie was formerly licensed with NYLife Securities LLC. According to George Shadie’s CRD, George Shadie was discharged from NYLife Securities LLC in February 2019. According to George Shadie’s CRD, George Shadie was terminated after the company’s review …
Steve Rosh, Financial Advisor Suspended from Securities Industry
Steve Rosh, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Steve Rosh CRD #2962763 Steve Rosh was a formerly licensed financial advisor with Transamerica Financial Advisors, Inc. FINRA reports that Steve Rosh was suspended from the securities industry in November 2014. According to FINRA: Steve Rosh consented to the sanctions and to the …
Michael Mackay – Complaint Filed Against Financial Advisor
Michael Mackay – Complaint Filed Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses Michael Mackay CRD #2279775 Michael Mackay is currently licensed with Transamerica Financial Advisors, Inc. in Cincinnati. According to Michael Mackay’s CRD, a complaint was filed with the complainant alleging that Michael Mackay was provided a check in the amount of $300,000 for a real …
Instaprin Pharmaceuticals, Inc. – SEC Files Complaint
Instaprin Pharmaceuticals, Inc. – SEC Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses ACCORDING TO THE SEC: This matter involves a fraudulent investment scheme orchestrated by Defendant Donald Milne, a convicted felon and securities fraud recidivist, by and through his company Instaprin (formerly SPI Acquisition Corp. (“SPI”)) (also “the company”), a purported pharmaceutical company that Milne claimed …
Brendan Shaw, Two Arbitration Claims Pending Against Financial Advisor
Brendan Shaw, Two Arbitration Claims Pending Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses Brendan Shaw, Brendan Patrick Shaw CRD #4721215 Brendan Shaw was formerly licensed with Purshe Kaplan Sterling Investments. According to Brendan Shaw’s CRD, two arbitration claims alleging sales practice violations against Brendan Shaw are currently pending. These two arbitration claims allege fraudulent and excessive …
William Schnepp, Financial Advisor William Schnepp Discharged from Firm
William Schnepp, Financial Advisor William Schnepp Discharged from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses William Schnepp, CRD #1854941 William Schnepp was formerly licensed with LPL Financial LLC and MML Investors Services, LLC. According to William Schnepp’s CRD, William Schnepp was discharged from LPL Financial LLC in March 2018. According to William Schnepp’s CRD, William Schnepp allegedly …
David Strnad, Financial Advisor David Strnad Investigated by FINRA
David Strnad, Financial Advisor David Strnad Investigated by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses David Strnad CRD #1982721 David Strnad was previously licensed with Wells Fargo and Morgan Stanley. According to David Strnad’s CRD, on November 6, 2018, FINRA made a preliminary determination to recommend that disciplinary action be brought against David Strnad alleging a violation …
David Antypas, Complaint Filed Involving Financial Advisor/Broker David Antypas
David Antypas, Complaint Filed Involving Financial Advisor/Broker David Antypas | Goodman & Nekvasil P.A., May Recover Investor Losses David Antypas CRD #2603488 David Antypas has been licensed with LPL Financial LLC from 2008 to 2017. According to David Antypas’ CRD, David Antypas was barred from the securities industry in April 2019. According to David Antypas’ CRD: The Tennessee Securities Division alleges …