Walter Valenzuela – Walter Roland Valenzuela, Arbitration Claims Filed Against Financial Advisor | Goodman & Nekvasil, P.A. May Recover Investor Losses Walter Valenzuela is currently registered with Hilltop Securities Inc. in Del Mar, California. According to Walter Valenzuela’s CRD, there are seven filed customer disputes against Walter Valenzuela alleging misrepresentation, excessive trading, unsuitability, breach of fiduciary, and failing to provide …

Ben Bourgeois, Financial Advisor Ben Bourgeois Arrested and Discharged from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses Ben Bourgeois CRD #2145555 Bob Bourgeois was licensed with Commonwealth Financial Network from 2015 to 2019 in Metairie, Louisiana. Ben Bourgeois was previously licensed with LPL Financial LLC. According to Ben Bourgeois’ CRD, Ben Bourgeois was discharged from Commonwealth Financial …

Brian Stephan – Financial Advisor Brian Stephan Suspended by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses Brian Stephan CRD #4222796 Brian Stephan is a currently licensed financial advisor/broker with American Wealth Management, Inc. in Xenia, Ohio. Brian Stephan was previously licensed with Commonwealth Financial Network. FINRA ordered that Brian Stephan be suspended for 8 months and fined …

John Cutshall, Financial Advisor Barred by FINRA from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses John Cutshall was a previously licensed broker/financial advisor with Lombard Securities Incorporated and Morgan Stanley in Maryland. FINRA reports that John Cutshall was barred from the securities and investment banking industry. ACCORDING TO FINRA: John Cutshall was named a respondent in …

Matthew Siliato – Matthew Angelo Siliato, Arbitration Claim Filed Involving Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Matthew Siliato is a currently licensed financial advisor with Wynston Hill Capital, LLC in New York. Matthew Siliato was previously licensed with Spartan Capital Securities, LLC. According to Matthew Siliato’s CRD, an arbitration claim has been filed alleging churning, …

Adam Fritzsche – Adam Stuart Fritzsche, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Adam Fritzsche was a previously licensed financial advisor/broker with IFS Securities in Atlanta and Citizens Securities, Inc. in New London, Connecticut. in FINRA reports that Adam Fritzsche was suspended for 1 year in March 2017.   According to FINRA: …

Mike Terry – Financial Advisor Mike Terry Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Mike Terry aka Mike Terry Swingle CRD #723350 Mike Terry of Clearwater, Florida was a previously licensed financial advisor/broker with J.W. Cole Financial, Inc. FINRA reports that Mike Terry was suspended for 18 months and fined $5,000 in May, 2018. According …

Thomas Davis – Thomas A. Davis, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Thomas Davis was a previously licensed broker/financial advisor with Wells Fargo Advisors, LLC in Hilton Head, South Carolina. FINRA reports that Thomas Davis was barred from the securities and investment banking industry in November 2018. ACCORDING TO FINRA: Thomas …

Derek Nierman – Arbitration Claim Filed Involving Financial Advisor Derek Nierman Derek Nierman CRD #2302164 Derek Nierman was previously licensed with UBS Financial Services, Inc. in Scottsdale, Arizona. According to Derek Nierman’s CRD, an arbitration claim has been filed in which the Claimant alleges that Derek Nierman recommended that he invest approximately $200,000 in an outside real estate loan program. Claimant alleges …