David Ferland – David L. Ferland, Lawsuit Involving Financial Advisor Settled | Goodman & Nekvasil P.A., May Recover Investor Losses David Ferland CRD #5034103 David Ferland has been licensed with Ameriprise Financial Services, Inc. since 2012. David Ferland reported to FINRA that a lawsuit involving David Ferland’s conduct has been filed. INVEST Financial Corporation reported to FINRA that the plaintiff …

Richard Botkin – Richard Simon Botkin, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Richard Botkin CRD #1571729 Richard Botkin is currently licensed with Stifel, Nicolaus & Company, Incorporated in Roseville, California. Richard Botkin was previously licensed with Morgan Stanley.  According to FINRA: Richard Botkin was suspended for four months and fined $15,000. …

Gayle Dilla – Financial Advisor Gayle Dilla Resigned from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses Gayle Dilla CRD #1633766 Gayle Dilla is currently licensed with NBC Securities, Inc. Gayle Dilla was previously licensed with UBS Financial Services, Inc. According to Gayle Dilla’s CRD, Gayle Dilla was discharged from UBS Financial Services, Inc. on November 7, 2017 …

Rob Schultz – Robert Nathan Schultz, Arbitration Claim Filed Involving Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Robert Schultz has been licensed with Wells Fargo since 2015 in Houston, Texas. Robert Schultz was previously licensed with UBS Financial Services, Inc. According to Robert Schultz’ CRD, an arbitration claim was filed alleging unsuitable and excessive trading, commissions …

Julian Gingold – Financial Advisor Julian Gingold Discharged from UBS Financial Services, Inc. | Goodman & Nekvasil P.A., May Recover Investor Losses Julian Gingold CRD #222170 Julian Gingold was a formerly licensed financial advisor with UBS Financial Services, Inc. in New York. UBS Financial Services, Inc. reported to FINRA that Julian Gingold was discharged on April 23, 2018 after the Firm …

Regan Rohl – Eight Customer Disputes involving Financial Advisor Regan Rohl Have Settled​ | Goodman & Nekvasil P.A., May Recover Investor Losses Reagan Rohl CRD #1877645 Regan Rohl is a currently licensed financial advisor with Wells Fargo in Fargo, North Dakota. According to Regan Rohl’s CRD, eight customer disputes alleging sales practice violations against Regan Rohl have settled. These allegations include …

JCS Enterprises, Inc. and T.B.T.I – SEC Charges with Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges JCS Enterprises, Inc. and T.B.T.I, Inc. ACCORDING TO THE SEC: On April 7, 2014, the Securities and Exchange Commission filed an emergency action to halt a Ponzi scheme conducted by JCS Enterprises, Inc., T.B.T.I. Inc., and …

John Papas – Ioannis Papatherapontos, Financial Advisor Discharged from Firm | Goodman & Nekvasil P.A., May Recover Losses John Papas  was previously registered with LPL Financial LLC in Little Falls, New Jersey. According to John Papas’ CRD, John Papatherapontos was discharged from LPL Financial LLC after alleged unapproved loans to client(s). If you lost any money on investments with John …

Johnnie Jones – Johnnie Melvin Jones, Four Customer Disputes Against Financial Adviser Settled | Goodman & Nekvasil P.A., May Recover Investor Losses Johnnie Jones is currently registered with Network 1 Financial Securities Inc. in Syosset, New York. According to Johnnie Jones’ CRD, four customer disputes were filed alleging sales practice violations against Johnnie Jones. These allegations included misrepresentation, suitability, and …

Charles Laverty – Charles Acheson Laverty, Financial Advisor Barred from Securities Industry Pending Review | Goodman & Nekvasil P.A., May Recover Investor Losses Charles Laverty was previously licensed with TCFG Wealth Management, LLC and Oppenheimer & Co. Inc. in Newport Beach, California. FINRA reports that Charles Laverty was barred from the securities industry in November 2018.   ACCORDING TO FINRA: …