Goodman & Nekvasil P.A., May Recover Investor Losses | Robert Gantner, Customer Complaint Filed Involving Financial Advisor Robert Gantner was licensed with Merrill Lynch from 1998 to 2015. FINRA reports that a complaint was filed involving Robert Gantner’s conduct alleging selling away from the firm, misappropriation of funds and misrepresentation from October 2013 to January 2014. FINRA reports that this …

Richard Scott Schumacher (Scott Schumacher) Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A, May Recover Your Investment Losses Scott Schumacher was licensed with Princor Financial Services Corporation from 2008 until 2014. Scott Schumacher was then licensed with Park Avenue Securities LLC for less than a year in 2014. Scott Schumacher was barred from the securities and investment …

Michael Seibert – Financial Advisor Michael Seibert Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Michael Seibert CRD #2004082 From 2002 until Michael Seibert’s discharge in 2013, Michael Seibert was licensed with Park Avenue Securities LLC. According to FINRA’s records, Michael Seibert was discharged from Park Avenue Securities LLC on March 21st, 2013. Park Avenue …

Goodman & Nekvasil P.A., May Recover Investor Losses | Mark Eliot Silverman (Mark Silverman) Financial Advisor Suspended from Securities Industry  From 2015 until Mark Silverman’s resignation in 2017, Mark Silverman was licensed with MML Investors Services, LLC. Mark Silverman was previously licensed with Park Avenue Securities LLC. According to FINRA’s records, Mark Silverman was permitted to resign by MML Investors Services, …

Goodman & Nekvasil P.A., May Recover Investor Losses | James Richard Tuberosa (Rick Tuberosa), Arbitration Claim Filed Involving Financial Advisor  Rick Tuberosa has been a licensed financial advisor with Ameriprise Financial Services, Inc. since 2009. FINRA reports that an arbitration claim has been filed involving Rick Tuberosa’s conduct with Ameriprise Financial Services, Inc. This arbitration claim alleges that beginning in April …

Goodman & Nekvasil P.A., May Recover Investor Losses | Richard Dismore, Financial Advisor Discharged from Firm  Richard Dismore is a licensed financial advisor with D.H. Hill Securities, LLLP and previously licensed with Foresters Equity Services, Inc. Richard Dismore was discharged from Foresters Equity Services, Inc. on October 5, 2015 after Richard Dismore allegedly failed to follow firm’s policies and procedures pertaining …

Goodman & Nekvasil P.A., May Recover Investor Losses | Phillip Dennis Boyd, Financial Advisor Discharged from Firm  Phillip Dennis Boyd was a formerly licensed financial advisor with Crown Capital Securities, L.P. and LPL Financial LLC. LPL Financial LLC reported to FINRA that Phillip Dennis Boyd was discharged on April 7, 2017 after allegedly violating Firm policy regarding outside business activities. If …

Goodman & Nekvasil P.A., May Recover Investor Losses | Bernard Wayne Gann (Bernard Gann), Financial Advisor Discharged from Firm  Bernard Gann was a formerly licensed financial advisor with LPL Financial LLC and Wells Fargo Advisors, LLC. LPL Financial LLC reported to FINRA that Bernard Gann was discharged on July 31, 2018 after allegations of improper acceptance of order from someone without …

Goodman & Nekvasil P.A., May Recover Investor Losses | Simone Shenassa, Financial Advisor Barred from Securities Industry  From 2012 until 2015, Simone Shenassa was licensed with Allstate Financial Services, LLC. FINRA reports that it investigated Simone Shenassa and brought a disciplinary action against Simone Shenassa. FINRA reports that Simone Shenassa was barred from the securities and investment banking industry by the …

Goodman & Nekvasil P.A., May Recover Investor Losses | Thomas Lisa Jr. (Thomas Lisa), Financial Advisor Suspended from Securities Industry  Thomas Lisa was previously licensed with Wilmington Capital Partners and Forefront Capital Markets LLC. FINRA reports that Thomas Lisa consented to the sanction and to the entry of findings that Thomas Lisa engaged in two outside business activities without providing prior …