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 | 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 …

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 | 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 | 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 …

Lawrence Roberson – Lawrence Randolph Roberson, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A.  May Recover Losses Lawrence Roberson CRD # 1347434 Lawrence Roberson was previously registered with Capital City Securities, LLC in Detroit, Michigan. According to Lawrence Roberson’s CRD, Lawrence Roberson was permanently barred by FINRA based on allegations such as willfully violating Section 10(b) of …

Jon Pyne – Jonathan Pyne, Customer Disputes Filed Involving Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Jon Pyne, Jonathan Pyne CRD #2580510 Jon Pyne was licensed with Berthel, Fisher & Company Financial Services, Inc. in Minneapolis since 2007. According to Jon Pyne’s CRD, four customer disputes alleging sales practice violations against Jon Pyne have been settled …

Leon Dixon – Leon Edward Dixon, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Leon Dixon, CRD# 723675 Leon Dixon was a previously licensed financial advisor/broker with AXA Advisors, LLC in Miami, Florida. FINRA reports that Leon Dixon was suspended for five months in April 2017.   According to FINRA: Leon Dixon consented to …

Andrew Kramer, Financial Advisor Andrew Kramer Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Andrew Kramer, Andrew Bennett Kramer CRD # 1896558 Andrew Kramer was formerly licensed with Capitol Securities Management, Inc. from 2014 to 2016. in New York. Andrew Kramer was also previously licensed with Northeast Securities, Inc. According to Andrew Kramer’s CRD, Andrew …

Jay Chapler – Jay Martin Chapler, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Jay Chapler CRD # 2575511 Jay Chapler was formerly licensed with Silver Leaf Partners, LLC in Nutley, New Jersey. FINRA reports that Jay Chapler was suspended from the securities industry for four months and fined $22,500 in May 2017. …