AXA Advisors Censured and Fined $600,000 by FINRA | Goodman & Nekvasil P.A. May Recover Investor Losses FINRA Censures and Fines AXA Advisors, LLC ACCORDING TO FINRA: From September 2010 through November 2015 (the “Relevant Period”), AXA distributed documents that negligently misrepresented the credit quality of certain bond funds offered within group annuity contracts for 401(k) retirement plans. Specifically, certain …

Tri-Med Corporation, Marketing Director Pleads Guilty to Conspiracy to Commit Mail Fraud and Wire Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses ACCORDING TO THE U.S. Attorney’s Office United States Attorney A. Lee Bentley, III announced that Eric Leon Ager (77, Clearwater) pleaded guilty to conspiracy to commit mail fraud and wire fraud. He faces a maximum penalty …

Jose Gonzalez – Jose Ramon Gonzalez, Financial Advisor Barred by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Jose Gonzalez, Jose Ramon Gonzalez CRD #1172302 Jose Gonzalez was formerly licensed with American Trust Investment Services, Inc. in Chicago. According to Jose Gonzalez’ CRD, Jose Gonzalez was barred from the securities industry in April 2017. According to FINRA: Jose …

Andre Labarbera – Andre Vincent LaBarbera, Financial Advisor Barred by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Andre LaBarbera, Andre Vincent LaBarbera CRD #2072370 Andre LaBarbera was formerly licensed with Titus Rockefeller, LLC in New York.  According to Andre Labarbera’s CRD, Andre LaBarbera was barred from the securities industry in March 2018 According to FINRA: Extended Hearing …

Tarek Richey – Tarek Buasuwan Richey, Financial Advisor Barred by Florida Office of Financial Regulation | Goodman & Nekvasil P.A., May Recover Investor Losses Tarek Richey, Tarek Buasuwan Richey CRD #3237892 Tarek Richey was formerly licensed with Questar Capital Corporation. According to Tarek Richey’s CRD, Tarek Richey was barred by the Florida Office of Financial Regulation. According to Tarek Richey’s …

Smarte Real Estate Investments, California Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses Smarte Real Estate Investments Inc., California Files Complaint ACCORDING TO THE STATE OF CALIFORNIA: This action involves the fraudulent offer and sale of securities by Jay Belson and several entities he controlled. The securities were offered to finance the purchase, rehabilitation, and sale of …

GDA Real Estate Services, LLC, Owner Charged with Securities Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses A Colorado State Grand Jury has issued an indictment of Gary Jule Dragul, 56, of Cherry Hills Village, alleging five counts of securities fraud. Dragul was previously indicted on nine counts of securities fraud in an April 2018 Grand Jury indictment. …

Green Bud Initiatives LLC, Ordered to Desist and Refrain by California | Goodman & Nekvasil P.A. May Recover Investor Losses California orders Green Bud Initiatives LLC, DHW Marketing, Smart Initiatives, LLC, Valley View Enterprises LLC and GPA Enterprises, LLC to Desist and Refrain Beginning in at least September 2017, Green Bud, Todd Johnson, Jeremy Johnson, and DHW Marketing offered and …

Hidalgo Mining Corp., SEC Charges with Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses SEC Charges Hidalgo Mining Corp with Fraud The Securities and Exchange Commission has charged a Florida-based mining company and its owners with defrauding investors in an unregistered securities offering involving a silver mine located near Mexico City, Mexico. The SEC’s complaint alleges that from …

Zach Wagner – Financial Advisor Zach Wagner Investigated by Arizona Securities Division | Goodman & Nekvasil P.A., May Recover Investor Losses Zach Wagner Financial Advisor CRD #6694074 Zach Wagner was formerly licensed with OneAmerica Securities, Inc., Merrill Lynch and Wells Fargo Clearing Services, LLC. According to Zach Wagner’s CRD, Zach Wagner is under investigation initiated by the Arizona Securities Division. …