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 …
Ricky Mantei – Arbitration Claim Filed Against Financial Advisor Ricky Mantei | Recover Investment Losses
Ricky Mantei – Arbitration Claim Filed Against Financial Advisor/Broker Ricky Mantei | Goodman & Nekvasil, P.A. May Recover Investor Losses Ricky Mantei CRD #1098981 Ricky Mantei has been licensed with Centaurus Financial, Inc. since 2015. Ricky Mantei was previously licensed with J.P. Turner & Company, LLC. According to Ricky Mantei’s CRD, Ricky Mantei has five pending complaints and/or arbitration claims …
Laura Shean, Financial Advisor Laura Shean Barred from Securities Industry
Laura Shean, Financial Advisor Laura Shean Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Laura Shean, Laura Ortega Provost CRD #2628756 Key Points: Laura Shean Barred from Securities Industry by FINRA Laura Shean Formerly Licensed with LPL Financial LLC Laura Shean was licensed with LPL Financial LLC from 1999 to 2017. According to FINRA, Laura …
Michael Matos, Financial Advisor Michael Matos Barred from Securities Industry
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 …