Ken Lindell – Robert Kenneth Lindell, Financial Advisor Sentenced to 10 Years in Prison | Goodman & Nekvasil P.A., May Recover Investor Losses Ken Lindell, Robert Kenneth Lindell CRD # 1896558 Ken Lindell was formerly licensed with Richfield Orion International, Inc. from 2013 to 2017. According to Ken Lindell’s CRD, Ken Lindell was barred from the securities industry in July …

Curt Stephen Ridlon – Curtis Stephen Ridlon, Regulatory Action Against Financial Advisor | Goodman & Nekvasil P.A. May Recover Losses Curt Ridlon CRD# 1405226 Curt Ridlon was previously registered with Waddell & Reed in Bedford, New Hampshire. According to Curt Ridlon’s CRD, Curt Ridlon currently has two regulatory actions filed against him, one settled regulatory action initiated by Vermont Securities …

Lawrence Roberson – Lawrence Randolph Roberson, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A.  May Recover Losses Lawrence Roberson CRD # 1347434 Lawrence Roberson was previously registered with Capital City Securities, LLC in Detroit, Michigan. According to Lawrence Roberson’s CRD, Lawrence Roberson was permanently barred by FINRA based on allegations such as willfully violating Section 10(b) of …

Jon Pyne – Jonathan Pyne, Customer Disputes Filed Involving Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Jon Pyne, Jonathan Pyne CRD #2580510 Jon Pyne was licensed with Berthel, Fisher & Company Financial Services, Inc. in Minneapolis since 2007. According to Jon Pyne’s CRD, four customer disputes alleging sales practice violations against Jon Pyne have been settled …

Leon Dixon – Leon Edward Dixon, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Leon Dixon, CRD# 723675 Leon Dixon was a previously licensed financial advisor/broker with AXA Advisors, LLC in Miami, Florida. FINRA reports that Leon Dixon was suspended for five months in April 2017.   According to FINRA: Leon Dixon consented to …

Andrew Kramer, Financial Advisor Andrew Kramer Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Andrew Kramer, Andrew Bennett Kramer CRD # 1896558 Andrew Kramer was formerly licensed with Capitol Securities Management, Inc. from 2014 to 2016. in New York. Andrew Kramer was also previously licensed with Northeast Securities, Inc. According to Andrew Kramer’s CRD, Andrew …

Jay Chapler – Jay Martin Chapler, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Jay Chapler CRD # 2575511 Jay Chapler was formerly licensed with Silver Leaf Partners, LLC in Nutley, New Jersey. FINRA reports that Jay Chapler was suspended from the securities industry for four months and fined $22,500 in May 2017. …

David Panetta – David Michael Panetta, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses David Panetta CRD# 1899328 David Panetta was formerly licensed with Allstate Financial Services, LLC in Nutley, New Jersey. FINRA reports that David Panetta was suspended from the securities industry for two months and fined $7,500 in June, 2017. According …

Jeb Bashaw – Financial Advisor Jeb Bashaw Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Jeb Bashaw  CRD #1251491 Jeb Bashaw has been licensed with International Assets Advisory, LLC since 2014 in Houston, Texas. FINRA reports that Jeb Bashaw was suspended for four months and fined $5,000 in April 2019.     ACCORDING TO FINRA: FINRA made a …

Charles Winstead – Charles Myrick Winstead, Financial Advisor Pleads Guilty to Embezzlement | Goodman & Nekvasil P.A., May Recover Losses Charles Winstead, Myrick Winstead CRD #4176077 Charles Winstead was a previously licensed broker/financial advisor with Nationwide Securities, LLC. FINRA reports that Charles Winstead was barred from the securities and investment banking industry in July 2015. According to FINRA: Charles Winstead …