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, …

Jason Nelson, Financial Advisor Jason Nelson Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Jason Nelson, Jason Reed Nelson CRD #4824535 Jason Nelson was a previously licensed financial advisor with LPL Financial LLC from 2013 to 2018. According to FINRA, Jason Nelson was barred from the securities industry in June 2019. ACCORDING TO FINRA: Jason …

Loren Lucas, Arbitration Claim Filed Alleging Sales Practice Violations | Goodman & Nekvasil P.A., May Recover Investor Losses Loren Lucas CRD #1203511 Loren Lucas is a currently licensed financial advisor with Raymond James & Associates According to Loren Lucas’ CRD, an arbitration claim was filed alleging sales practice violations against Loren Lucas. According to Loren Lucas’ CRD, these allegations include …