Goodman & Nekvasil, P.A. May Recover Investor Losses | Wesley Owen Clinton (Wesley Clinton), Arbitration Claim Filed Involving Financial Advisor  Wesley Clinton has been licensed with Network 1 Financial Securities, Inc. FINRA reports that an arbitration claim was filed involving Wesley Clinton’s conduct with Network 1 Financial Securities, Inc. According to Wesley Clinton’s CRD, this arbitration claim alleges suitability and failure …

Goodman and Nekvasil May Recover Investors Losses | Scott Allen Sibley (Scott Sibley), Financial Advisor Barred by FINRA Scott Sibley was a previously licensed financial advisor with Moors & Cabot, Inc. and Raymond James & Associates, Inc. FINRA reported on April 20, 2017, Scott Sibley, was barred from association with any FINRA member in any capacity. FINRA findings included that …

Goodman and Nekvasil May Recover Investors Losses | Roger Salvatore Zullo (Roger Zullo), Financial Advisor Barred by FINRA  FINRA reports that Roger Zullo was licensed with LPL Financial LLC from 2004 to 2016. Reported by FINRA on July 31, 2017, Roger Zullo, was barred from association with any FINRA member in any capacity permanently.   FINRA reports Roger Zullo, without admitting …

Goodman & Nekvasil P.A., May Recover Investor Losses | James Marino – James Vincent Marino, Financial Advisor Under Investigation by FINRA  James Marino was licensed with Edward Jones from 2013 to 2016 in Pompano Beach, Florida. FINRA reports that James Marino was barred from the securities and investment banking industry on August 4, 2017. FINRA reports that James Marino consented to …

Bill Riley, Arbitration Claim Filed Involving Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Bill Riley CRD #1493287 Bill Riley was a formerly licensed financial advisor with Silver Oak Securities, Inc. from 2010 to 2018. Silver Oak Securities, Inc. reported to FINRA that an arbitration claim was filed involving Bill Riley’s conduct alleging suitability and breach of fiduciary …

Goodman and Nekvasil May Recover Investors Losses | Gary Saitowitz, Financial Advisor Suspended by FINRA  Gary Saitowitz was previously licensed with IFS Securities and Transamerica Financial Advisors, Inc. Reported by FINRA on January 3, 2017, Gary Saitowitz, was suspended from association with any FINRA member in any capacity for eighteen-months on January 3, 2017. Gary Saitowitz entered into a Letter of …

Goodman and Nekvasil May Recover Investors Losses | Victor Lee, Financial Advisor Barred by FINRA  Victor Lee was licensed with UBS Financial Services, Inc. from 2012 to 2015. Reported by FINRA on January 9, 2017, Victor Lee, was barred from association with any FINRA member in any capacity. Victor Lee entered into a Letter of Acceptance, Waiver and Consent with the …

Goodman & Nekvasil P.A., May Recover Investor Losses | Kristian Gaudet, Financial Advisor Under Investigation by FINRA  Kristian Gaudet was licensed with Ameritas Investment Corp. from 2003 to 2018. FINRA reports that it is reviewing the 4530 filed including suspicions that Kristian Gaudet was involved in fraudulent activities. FINRA reports that this investigation is pending. Ameritas Investment Corp. reported to FINRA …

Goodman & Nekvasil P.A., May Recover Investor Losses | Daniel Kittner (Dan Kittner), Financial Advisor Suspended from Securities Industry Dan Kittner was licensed with Ameritas Investment Corp. from 2011 to 2017. FINRA reports that Dan Kittner was suspended from the securities industry on 10/15/2018. FINRA reports that Dan Kittner consented to the sanctions and to the entry of findings that Dan …

John Ernst – John Dale Ernst, Financial Advisor Discharged from Foresters Equity Services, Inc. | Goodman & Nekvasil P.A., May Recover Investor Losses on Woodbridge Mortgage Investment Funds  John Ernst was licensed with Foresters Equity Services, Inc. from 2011 to 2018 Goodman & Nekvasil, P.A. is investigating the possible involvement of John Ernst in the sale of Woodbridge Mortgage Investment Funds. …