George Dahl – George Jeffrey Dahl, Financial Advisor Barred From Securities Industry | Goodman And Nekvasil P.A., May Recover Losses CRD#: 59820 George Dahl was previously registered with Revere Securities LLC in New York, New York. According to George Dahl’s CRD, FINRA barred George Dahl from the securities industry alleging that George Dahl consented to the sanction and to the …

Joshua Mosshart – Joshua Daniel Mosshart, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Losses CRD#: 3174050 Joshua Mosshart was previously registered with LPL Financial LLC in Westlake Village, California. According to Joshua Mosshart’s CRD, FINRA barred Joshua Mosshart alleging that he sought for permission from his member firm to be a company’s sales representative …

American Growth Funding II, LLC and Portfolio Advisors Alliance, Inc.  – SEC Charges with Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges American Growth Funding II, LLC and Porfolio Advisors Alliance, Inc. with Fraud ACCORDING TO THE SEC: On February 3, 2016, the Securities and Exchange Commission charged a Manhattan-based lending company and …

Retirement Surety LLC and Crescendo Financial LLC – SEC Files Cease and Desist Order | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Files Cease and Desist Order Against Retirement Surety LLC and Crescendo Financial ACCORDING TO THE SEC: Retirement Surety LLC (“Retirement Surety”) is a Texas limited liability company formed on February 5, 2010 and …

PLCMGMT LLC dba Prometheus Law – SEC Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Files Complaint Against PLCMGMT LLC dba Prometheus Law  ACCORDING TO THE SEC: The Securities and Exchange Commission charged a Los Angeles-based litigation marketing company and its co-founders with defrauding retirees and other investors who were told their money …

Sylvester King – Financial Advisor Sylvester King Barred by SEC​ | Goodman And Nekvasil P.A., May Recover Losses Sylvester King CRD # 4011622 Sylvester King Jr. was previously registered with Wells Fargo Advisors, LLC in Fort Lauderdale, Florida. According to Sylvester King Jr.’s CRD, the SEC barred Sylvester King Jr., alleging Sylvester King Jr.’s participation in selling more than $5 million …

Janet Derrick – Janet Lynn Derrick, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil May Recover Losses Janet Derrick CRD # 1395360 Janet Derrick was previously registered with Voya Financial Advisors, Inc. in Chicago, Illinois. According to Janet Derrick’s CRD, Janet Derrick was suspended by FINRA in May 2019. According to FINRA, Janet Derrick consented to the sanction …

Patrick Howard – SEC Charges Financial Advisor Patrick Howard | Goodman & Nekvasil, P.A. May Recover Investor Losses Patrick Howard, CRD # 5153247 Patrick Howard was formerly licensed with OneAmerica Securities, Inc. from 2010 to 2015. The SEC’s complaint alleges that since February 2015, Patrick O. Howard and two Dallas-based companies Patrick Howard controls – Optimal Economics Capital Partners, LLC …

Keystone Capital Partners – SEC Files Civil Action | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Files Civil Action Against Keystone Capital Partners  ACCORDING TO THE SEC: Between approximately March 2012 and November 2014, (the “Relevant Period”), Christopher Laws, Jonathan Cooke, Danny Hood, and Brandon Long, each of whom were registered representatives of a broker …

Aequitas Management, LLC – SEC Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Files Complaint Against Aequitas Management, LLC  ACCORDING TO THE SEC: This litigation arises from a scheme to defraud and misuse client assets in connection with investments offered through the Aequitas group of companies, founded by Robert J. Jesenik and based …