David Manor – Financial Advisor/Broker David Manor Previously Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses David Manor CRD #6033220 David Manor was a previously licensed financial advisor/broker with Wells Fargo Clearing Services and Santander Securities LLC. According to FINRA, David Manor was suspended from the securities industry for nine months beginning in October 2019. …
Chris Hawn – Christopher Hawn, Financial Advisor Suspended from Securities Industry
Chris Hawn – Christopher Hawn, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Chris Hawn CRD #4776341 Chris Hawn was previously licensed with ALPS Distributors, Inc. in Denver, Colorado. According to FINRA: Chris Hawn was suspended for six months in June 2017. FINRA reports that Chris Hawn consented to the sanctions and to …
James Schaedler – James Robert Schaedler Jr., Financial Advisor Barred from Securities Industry
James Schaedler – James Robert Schaedler Jr., Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses James Schaedler was licensed with Wells Fargo from 2010 to 2017 in Anaheim, CA. FINRA reports that James Schaedler was barred from the securities and investment banking industry in June 2017. ACCORDING TO FINRA: James Schaedler consented to …
Leslie Koonce – Leslie Rhodes Koonce, Financial Advisor Barred from Securities Industry
Leslie Koonce – Leslie Rhodes Koonce, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Leslie Koonce CRD # 1131758 Leslie Koonce was previously licensed with EK Riley Investments, LLC, Cetera Advisor Networks LLC and LPL Financial LLC in Menlo Park, California. FINRA reports that Leslie Koonce was barred from the securities industry in …
Ralph Marra – Ralph Brian Marra, Financial Advisor Suspended by FINRA
Ralph Marra – Ralph Brian Marra, Financial Advisor Suspended by FINRA | Goodman and Nekvasil May Recover Investors Losses Ralph Marra is currently licensed with National Securities Corporation in Clearwater, Florida. Ralph Marra was previously licensed with Morgan Stanley. According to Ralph Marra’s CRD, Ralph Marra, was suspended from association with any FINRA member in any capacity for 20 business …
Phillip Michael Carter d/b/a North Forty Development – SEC Charges with Fraud
Phillip Michael Carter d/b/a North Forty Development – SEC Charges with Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Phillip Michael Carter d/b/a North Forty Development ACCORDING TO THE SEC: The Securities and Exchange Commission announced that it filed charges against Texas resident and real estate developer Phillip Michael Carter, two other individuals, and …
Joe Treece – Joe Don Treece, Financial Advisor Barred by FINRA
Joe Treece – Joe Don Treece, Financial Advisor Barred by FINRA | Goodman & Nekvasil P.A., May Recover Losses CRD#: 2925735 Joe Treece was previously licensed with Arvest Wealth Management in Bentonville, Arkansas and Raymond James & Associates, Inc. According to Joe Treece’s CRD, Joe Treece was barred from the securities industry in January, 2017. FINRA reports that Joe Treece …
Scott McAfee – Kenneth Scott McAfee, Financial Advisor Resigned from Merrill Lynch
Scott McAfee – Kenneth Scott McAfee, Financial Advisor Resigned from Merrill Lynch | Goodman & Nekvasil P.A., May Recover Losses CRD#: 4993087 Scott McAfee is currently registered with Signal Securities, Inc. in Fort Worth, Texas. Scott McAfee was previously licensed with Merrill Lynch. According to Scott McAfee’s CRD, Scott McAfee resigned from Merrill Lynch in 2017, after allegations of conduct …
Michael Murphy – Michael Patrick Murphy, Complaint Filed by FINRA
Goodman & Nekvasil P.A., May Recover Investor Losses | Michael Murphy – Michael Patrick Murphy, Complaint Filed by FINRA CRD # 2596905 Michael Murphy has been licensed with Columbus Advisory Group, Ltd. Since 2003. FINRA reports that it has filed a complaint against Michael Murphy. ACCORDING TO FINRA: From February 2014 through May 2018, Michael Patrick Murphy willfully failed to …
Renee Altamirano – Renee Valerie Altamirano, Financial Advisor Barred from Securities Industry
Renee Altamirano – Renee Valerie Altamirano, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Renee Altamirano, Renee Valerie Bibens, Renee Valerie Woodock, CRD #222170 Renee Altamirano was a formerly licensed financial advisor with LPL Financial LLC in Hot Springs Village, Arkansas. According to Renee Altamirano’s CRD, Renee Altamirano was discharged by LPL Financial …