Clark Gardner – Financial Advisor Clark Gardner Barred by SEC and FINRA | Goodman & Nekvasil P.A. May Recover Losses Clark Gardner CRD #: 2930356 Clark Gardner was previously registered with Cetera Advisors LLC in Orem, Utah. According to Clark Gardner’s CRD, Clark Gardner was barred by SEC in June 2016. According to the SEC, on February 12, 2016, Clark …
Marquis Properties, LLC and Chad R. Deucher – SEC Charges with Ponzi Scheme
Marquis Properties, LLC and Chad R. Deucher – SEC Charges with Ponzi Scheme | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Marquis Properties LLC and Chad Deucher with Ponzi Scheme ACCORDING TO THE SEC: The Securities and Exchange Commission obtained an asset freeze and other ancillary relief against Marquis Properties, LLC, and its CEO/President …
Bill Kielczewski – William Joseph Kielczewski, Financial Advisor Discharged from Huntington Investment Company
Bill Kielczewski – William Joseph Kielczewski, Financial Advisor Discharged from Huntington Investment Company | Goodman & Nekvasil P.A. May Recover Losses Bill Kielczewski, William Kielczewski CRD # 4034356 Bill Kielczewski was previously registered with The Huntington Investment Company in Toledo, Ohio. According to Bill Kielczewski’s CRD, Bill Kielczewski was discharged from The Huntington Investment Company in April 2017. According to …
Arnold Schonbrun – Financial Advisor Barred by FINRA
Arnold Schonbrun – Financial Advisor Barred by FINRA | Goodman & Nekvasil P.A. May Recover Losses Arnold Schronbrun CRD# 1027958 Arnold Schonbrun was previously registered with Cantor Fitzgerald & Co. in New York. According to Arnold Schonbrun’s CRD, FINRA barred Arnold Schonbrun alleging that Arnold Schonbrun refused to appear for FINRA’s on-the-record testimony in connection with its investigation that began …
Brian Sak – Brian Carey Sak, Financial Advisor Barred from Securities Industry
Brian Sak – Brian Carey Sak, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A. May Recover Losses Brian Sak CRD #3259830 Brian Sak was previously registered with Morgan Stanley in Deerfield, Illinois. According to Brian Sak’s CRD, FINRA barred Brian Sak from the securities industry in December 2016. FINRA reports that Brian Sak consented to the sanction …
Thomas Borruso – Financial Advisor Thomas Borruso Barred from Securities Industry
Thomas Borruso – Financial Advisor Thomas Borruso Barred from Securities Industry | Goodman & Nekvasil May Recover Losses Thomas Borruso CRD #5475175 Thomas Borruso was previously registered with LPL Financial LLC in Melville, New York. According to Thomas Borruso’s CRD, Thomas Borruso was barred by FINRA in September 2017. According to Thomas Borruso’s CRD, Thomas Borruso allegedly failed to respond …
Chris Russell – Christopher Hanley Russell, Financial Advisor Suspended from Securities Industry
Chris Russell – Christopher Hanley Russell, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A. May Recover Losses CRD#: 5012084 Chris Russell was previously registered with LPL Financial LLC and Wells Fargo Advisors in Huntsville, Alabama. According to Chris Russell’s CRD, Chris Russell was discharged from LPL Financial LLC. According to Chris Russell’s CRD, Chris Russell allegedly violated …
Alex Ford – Furman Alexander Ford, Complaint Filed Against Financial Advisor
Goodman & Nekvasil P.A., May Recover Losses | Alex Ford – Furman Alexander Ford, Complaint Filed Against Financial Advisor Alex Ford Alex Ford, Furman Alexander Ford CRD #1067199 Alex Ford was formerly licensed with NYLife Securities LLC in Raleigh. According to Alex Ford’s CRD, a customer complaint was filed alleging sales practice violations against Alex Ford. According to Alex Ford’s CRD, …
Ken Lindell – Robert Kenneth Lindell, Financial Advisor Sentenced to 10 Years in Prison
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
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 …