Christopher Brogdon – SEC Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Files Complaint Against Christopher Brogdon ACCORDING TO THE SEC: Plaintiff Securities and Exchange Commission (the “Commission”), for its Complaint against Defendant Christopher Freeman Brogdon, and Relief Defendants Connie Brogdon, Tygh Brogdon, Brogdon Family LLC, Gordon Jensen Healthcare Association, Inc., JRT Group …
Dale Krueger – Dale Earl Krueger, Financial Advisor Barred from Securities Industry
Dale Krueger – Dale Earl Krueger, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Losses Dale Krueger, Dale Earl Krueger CRD #1100066 Dale Krueger was previously registered with Moloney Securities Co., Inc. in Midland, Michigan. According to Dale Krueger’s CRD, Dale Krueger was barred by FINRA in September 2017. According to FINRA, Dale Krueger consented …
Nicholas Cavazos – Ciro Gilbert Cavazos, Financial Advisor Suspended from Securities Industry
Nicholas Cavazos – Ciro Gilbert Cavazos, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Losses Nicholas Cavazos, Ciro Cavazos #4438921 Nicholas Cavazos was previously registered with Raymond James Financial Services, Inc. in Chico, California. According to Nicholas Cavazos’s CRD, FINRA suspended Nicholas Cavazos from the securities industry for three months in August 2016. According to …
Paula Harold – Financial Advisor Paula Harold Suspended from Securities Industry
Paula Harold – Financial Advisor Paula Harold Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Losses Paula Harold aka Paula Louise Harold CRD #5848199 Paula Harold was previously registered with PFS Investments, Inc. in Ontario, California. According to Paula Harold’s CRD, FINRA suspended Paula Harold for 18 months in December 2017. According to FINRA, Paula Harold submitted …
Alicia Moe – Alicia Marie Moe, Financial Advisor Barred From Securities Industry
Alicia Moe – Alicia Marie Moe, Financial Advisor Barred From Securities Industry | Goodman & Nekvasil P.A. May Recover Losses Alicia Moe, Alicia Marie Leach, Alicia Marie Moe CRD # 5788907 Alicia Moe was previously registered with Unionbanc Investment Services, LLC in Woodland Hills, California. According to Alicia Moe’s CRD, FINRA barred Alicia Moe in March 2016. According to Alicia …
Starship Snacks, Corp – SEC Files Charges Related to Investment Scam
Starship Snacks, Corp – SEC Files Charges Related to Investment Scam | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Files Charges in Starship Snacks Corp. Investment Scam ACCORDING TO THE SEC: The Securities and Exchange Commission charged three individuals who defrauded investors in a company that falsely claimed to be developing a caffeinated chocolate snack …
Merrill Robertson Jr. and Cavalier Union Investments LLC – SEC Charges with Fraud
Merrill Robertson Jr. and Cavalier Union Investments LLC – SEC Charges with Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Merrill Robertson Jr. and Cavalier Union Investments LLC with Fraud ACCORDING TO THE SEC: Merrill Robertson Jr., a former player for the Philadelphia Eagles, has been sentenced to 40 years’ imprisonment for defrauding …
Mergenet Medical, Inc – SEC Orders Cease and Desist
Mergenet Medical, Inc. – SEC Orders Cease and Desist | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Orders Cease and Desist Against Mergenet Medical Inc. ACCORDING TO THE SEC: On October 16, 2017, the Commission instituted and simultaneously settled cease-and-desist proceedings (the “Order”) against Mergenet Medical Inc. (“Mergenet”) and four of its senior officers and …
Michael Ahearn – Michael John Ahearn, Financial Advisor Barred from Securities Industry
Michael Ahearn – Michael John Ahearn, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Ahearn, CRD #2661001 Michael Ahearn was previously licensed with Merrill Lynch in Yardley, Pennsylvania. FINRA reports that Michael Ahearn was barred from the securities and investment banking industry in April 2019. ACCORDING TO FINRA: Michael Ahearn consented to …
Gene Anderson – Eugene Donald Anderson, Financial Advisor Barred from Securities Industry
Gene Anderson – Eugene Donald Anderson, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Losses Gene Anderson, Eugene Donald Anderson CRD # 1127707 Gene Anderson was previously registered with United Planners’ Financial Services of America A Limited Partner in Apache Junction, Arizona. According to Gene Anderson’s CRD, FINRA barred Gene Anderson alleging that Gene Anderson …