Michael Matos, Financial Advisor Michael Matos Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Matos CRD #6460694 Key Points: Michael Matos Barred from Securities Industry by FINRA Michael Matos Formerly Licensed with J.P. Morgan Securities LLC Michael Matos was been previously licensed with J.P. Morgan Securities LLC. According to FINRA, Michael Matos was barred …
Nathan Katz, Financial Advisor Nathan Katz Discharged from Firm
Nathan Katz, Financial Advisor Nathan Katz Discharged from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses Nathan Katz, CRD #846475 Key Points: Nathan Katz Discharged from Triad Advisors LLC Nathan Katz is currently licensed with American Independent Securities Group, LLC and was previously Triad Advisors LLC. According to Nathan Katz’ CRD, Nathan Katz was discharged from Triad Advisors …
Nicholas Maddox, Financial Advisor Nicholas Maddox Barred from Securities Industry
Nicholas Maddox, Financial Advisor Nicholas Maddox Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Nicholas Maddox, Nicholas Brent Maddox CRD #4732456 Nicholas Maddox was been previously licensed with TCFG Wealth Management, LLC, U.S. Bancorp Investments, Inc. and J.P. Morgan Securities LLC. According to FINRA, Nicholas Maddox was barred from the securities industry in November 2018. …
Janney Montgomery Scott, Complaint Filed by Massachusetts Securities Division
Janney Montgomery Scott, Complaint Filed by Massachusetts Securities Division | Goodman & Nekvasil P.A. May Recover Investor Losses Massachusetts Securities Division Files Complaint Against Janney Montgomery Scott ACCORDING TO THE MASSACHUSETTS SECURITIES DIVISION The enforcement brings this action against Janney Montgomery Scott LLC (Janney) for violations in connection with the purchase and sale of mutual funds. Janney is a registered …
Natural Diamonds Investment, Eagle Financial Diamond Group and Argyle Coin LLC – SEC Alleges Fraud
Natural Diamonds Investment, Eagle Financial Diamond Group and Argyle Coin LLC – SEC Alleges Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses ACCORDING TO THE SEC: The Commission brings this action to enjoin Natural Diamonds Investment Co. (Natural Diamonds”), Eagle Financial Diamond Group lnc., a/k/a Diamante Atelier (“Eagle”), and Argyle Coin, LLC (Argyle Coin”) (collectively, the Corporate Defendants’), …
CoreCap Investments, LLC Censured by State of Michigan
CoreCap Investments, LLC Censured by State of Michigan | Goodman & Nekvasil P.A. May Recover Investor Losses ACCORDING TO THE STATE OF MICHIGAN: A. Respondent Corecap Investments, LLC had no written supervisory procedures in place to address trade reviews for agents under heightened supervision, despite undertaking the responsibility to review trades pursuant to Romer III’ s Heightened Supervision Plan. B. …
Frank Black – Frank Harmon Black Jr, FINRA Files Complaint
Frank Black – Frank Harmon Black Jr, FINRA Files Complaint | Goodman & Nekvasil P.A., May Recover Investor Losses Frank Black, Frank Harmon Black Jr CRD #22451 Frank Black has been licensed with Southeast Investments, N.C., Inc. since 1997. According to Frank Black’s CRD, Frank Black was barred from the securities industry in April 2019. According to FINRA: Frank Black …
Lisa Lastrapes – Financial Advisor Lisa Lastrapes Suspended from Securities Industry
Lisa Lastrapes – Financial Advisor Lisa Lastrapes Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Lisa Lastrapes, Lisa Jeanne Lastrapes CRD #2739854 Lisa Lastrapes was formerly licensed with Merrill Lynch and USAA Financial Advisors, Inc. in Texas. According to Lisa Lastrapes’ CRD, Lisa Lastrapes was suspended from the securities industry. According to Lisa Lastrapes’ CRD, Lisa …
RJ Bernstein – Richard Jay Bernstein, Four Arbitration Claims Settled Against Financial Advisor
RJ Bernstein – Richard Jay Bernstein, Four Arbitration Claims Settled | Goodman & Nekvasil P.A., May Recover Investor Losses RJ Bernstein, Richard Jay Bernstein CRD #113777 RJ Bernstein is currently licensed with Wells Fargo Clearing Services, LLC. RJ Bernstein was previously licensed with Morgan Stanley. According to RJ Bernstein’s CRD, four arbitration claims alleging sales practice violations against RJ Bernstein …
Jesse Webb – Jesse Lynn Webb, Financial Advisor Allegedly Engaged in Dishonest or Unethical Behavior
Jesse Webb – Jesse Lynn Webb, Financial Advisor Allegedly Engaged in Dishonest or Unethical Behavior | Goodman & Nekvasil P.A., May Recover Investor Losses Jesse Webb, Jesse Lynn Webb CRD #2298761 Jesse Webb has been licensed with Oppenheimer & Co. Inc. since 2012. According to the State of Michigan, the Administrator intends to deny the securities agent registration application of …