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 …
Debra Bourne, Four Arbitration Claims Pending Against Financial Advisor
Debra Bourne, Four Arbitration Claims Pending Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses Debra Bourne, Debra Ann Bourne, Debra Collura Bourne, Debra Collura CRD #1352344 Debra Bourne was previously licensed with First Standard Financial, National Securities Corporation and Oppenheimer & Co. Inc. According to Debra Bourne’s CRD, four arbitration claims alleging sales practice violations against Debra …
Daniel Pacheco – Daniel Antonio Pacheco, Customer Disputes Filed Against Financial Advisor
Daniel Pacheco – Daniel Antonio Pacheco, Customer Disputes Filed Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Daniel Pacheco, Daniel Antonio Pacheco CRD #5278626 Daniel Pacheco has been previously licensed with LPL Financial LLC and Suntrust Investment Services, Inc. According to Daniel Pacheco’s CRD, four customer complaints were filed alleging Daniel Pacheco engaged in unauthorized trading …
Thomas Studer – Thomas Leroy Studer, Financial Advisor Barred from Securities Industry
Thomas Studer – Thomas Leroy Studer, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Thomas Studer, Thomas Leroy Studer CRD #6300308 Thomas Studer was previously licensed with Thrivent Investment Management, Inc. According to FINRA, Thomas Studer was barred from the securities industry in May 2019. ACCORDING TO FINRA: Thomas Studer refused to appear …
Tony Swart – Anthony Kevin Swart, Financial Advisor Allegedly Engaged in Dishonest or Unethical Behavior
Tony Swart – Anthony Kevin Swart, Financial Advisor Allegedly Engaged in Dishonest or Unethical Behavior | Goodman & Nekvasil P.A., May Recover Investor Losses Tony Swart, Anthony Kevin Swart CRD #2376424 Tony Swart has been licensed with Benjamin F. Edwards & Company, Inc. since 2018. Tony Swart was previously licensed with SunTrust Investment Services, Inc. 2004 to 2018. ACCORDING TO …