Goodman & Nekvasil P.A., May Recover Investor Losses | James Bradley Schwartz (James Schwartz), Financial Advisor Under Investigation by FINRA  James Schwartz was a previously licensed financial advisor with Joseph Gunnar & Co. LLC, First Standard Financial Company LLC and Aegis Capital Corp. FINRA reports that it made a preliminary determination to recommend that disciplinary action be brought against James Bradley …

DC Solar Inc., Jeff and Paulette Carpoff, Under FBI Investigation | Goodman & Nekvasil P.A. May Recover Investor Losses   -INVESTOR UPDATE 12/2/19–  Goodman & Nekvasil, P.A. Has Learned that on October 22, 2019, U.S. Attorney McGregor W. Scott announced that Ronald Roach of Walnut Creek, California and Joseph Bayliss of Martinez, California recently pleaded guilty to their participation in …

Michael Minghenelli – Financial Advisor Michael Minghenelli Named in FINRA Complaint | Goodman & Nekvasil P.A., May Recover Investor Losses  Michael Minghenelli CRD #6067409 Michael Minghenelli was licensed with Merrill Lynch from 2012 to 2017. FINRA reports that Michael Minghenelli was named a respondent in a FINRA complaint alleging that Michael Minghenelli converted approximately $200 from his member firm by taking …

Goodman & Nekvasil P.A., May Recover Investor Losses | Thomas Anthony Gallo (Tom Gallo), Financial Advisor Suspended from Securities Industry  Tom Gallo was previously licensed with Spartan Capital Securities, LLC, Newbridge Securities Corporation, Corinthian Partners L.L.C. and Garden State Securities, Inc. FINRA reports that Tom Gallo was suspended for 60 days on February 18, 2019. FINRA reports that Tom Gallo consented …

Bruce Worthington, Financial Advisor Bruce Worthington Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses CRD #2193895 Bruce Worthington was licensed with Founders Financial Securities LLC from 2013 to 2018. Bruce Worthington was previously licensed with Commonwealth Financial Network. FINRA reports that Bruce Worthington was suspended indefinitely on December 31, 2018. FINRA reports that Bruce Worthington failed …

Goodman & Nekvasil P.A., May Recover Investor Losses | Steven Franklin Brandt (Steve Brandt), Arbitration Claim Filed Involving Financial Advisor  Steve Brandt has been previously licensed with The Strategic Financial Alliance, Inc., LPL Financial LLC and Cetera Advisors LLC. FINRA reports that an arbitration claim involving Steve Brandt’s conduct with Cetera Advisors LLC was filed. FINRA reports that Steve Brandt was …

Goodman & Nekvasil P.A., May Recover Investor Losses | Thomas Riquier, State of Massachusetts Names Financial Advisor in Complaint  Thomas Riquier was a formerly licensed financial advisor with United Planners’ Financial Services of America LP from 1992 to 2018. The State of Massachusetts Securities Division reported to FINRA that Thomas Riquier allegedly solicited outside investments from brokerage and advisory customers pursuant …

Goodman & Nekvasil P.A., May Recover Investor Losses | Stephen Michael Hart (Stephen Hart), Financial Advisor Barred from Securities Industry Stephen Hart was previously licensed with CFWP Securities LLC, Allen & Company LLC and Robotti & Company, LLC. FINRA reports that Stephen Hart was barred by FINRA in February 2019. FINRA reports that Stephen Hart consented to the sanction and to …

Goodman & Nekvasil P.A., May Recover Investor Losses | Lawrence Marshall Thomas (Larry Thomas), Financial Advisor Barred from Securities Industry  Larry Thomas was a previously licensed financial advisor with Essex Securities LLC, Brooklight Place Securities, Inc. and Woodbury Financial Services, Inc. Larry Thomas was barred from the securities and investment banking industry on June 12, 2017. FINRA reports that Larry Thomas …

Goodman & Nekvasil, P.A., May Recover Investor Losses | KBS Strategic Opportunity REIT II  KBS Strategic Opportunity REIT II is a public, non-traded real estate investment trust, that according to Bloomberg, focuses on acquiring an investment portfolio with a total return profile that is composed of investments that provide capital appreciation potential and current operating income. According to Bloomberg, these investments may …