Goodman & Nekvasil, P.A. May Recover Investor Losses | Marc Allen Miller II (Marc Miller), Arbitration Claim Filed Involving Financial Advisor  Marc Miller has been licensed with Raymond James & Associates, Inc. since 2013. FINRA reports that an arbitration claim was filed involving Marc Miller’s conduct with Raymond James & Associates, Inc., alleging breach of contract, negligence, gross negligence, intentional and …

Goodman & Nekvasil P.A., May Recover Investor Losses | Ron Jason Ison (Ron Ison), Financial Advisor Barred from Securities Industry Ron Ison was a formerly licensed financial advisor with Buckman, Buckman & Reid, Inc. FINRA reports that Ron Ison was barred from the securities industry on April 13, 2018. FINRA reports that Ron Ison consented to the sanction and to the …

Goodman & Nekvasil P.A., May Recover Investor Losses | Matthew Earl Peregoy (Matt Peregoy), Financial Advisor Barred from Securities Industry  Matt Peregoy was licensed with Investors Capital Corp. from 2006 to 2016. FINRA reports that Matt Peregoy was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on January 16, 2018. FINRA reports that Matt …

Sandra Schwan, Financial Advisor Sandra Schwan Discharged from Raymond James Financial Services, Inc. | Goodman & Nekvasil, PA May Recover Investor Losses Sandra Schwan CRD #2800119 Sandra Schwan was a formerly licensed financial advisor with Raymond James Financial Services, Inc. Raymond James Financial Services, Inc. reported to FINRA that Sandra Schwan was terminated after the Firm identified multiple document integrity …

Kimm Hannan – Financial Advisor Kimm Hannan Convicted on 53 Counts of Fraud | Goodman & Nekvasil, PA May Recover Investor Losses Kimm Hannan CRD #2402527 Kimm Hannan was a formerly licensed financial advisor with Ameriprise Financial Services, Inc. CantonRep.com reports that Kimm Hannan was convicted Friday of 53 counts related to investment fraud. The report states that For around …

Goodman & Nekvasil P.A., May Recover Investor Losses | Kirk Bertsch – Financial Advisor Kirk Bertsch Under Investigation by South Dakota Division of Insurance  Kirk Bertsch CRD #4132889 Kirk Bertsch was a formerly licensed financial advisor with Farmers Financial Solutions, LLC. Farmers Financial Solutions, LLC reported to FINRA that Kirk Bertsch is under investigation of the South Dakota Division of Insurance, …

Goodman & Nekvasil P.A., May Recover Investor Losses | Whitney Boucher, Arbitration Claim Filed Involving Financial Advisor  Whitney Boucher was licensed with Janney Montgomery Scott LLC since 1995. FINRA reports that an arbitration claim was filed involving Whitney Boucher’s conduct with Janney Montgomery Scott LLC. This arbitration claim alleges that Whitney Boucher executed trades in the client’s accounts only for the …

 Goodman and Nekvasil May Recover Investors Losses | James Carolan Speno (James Speno), Financial Advisor Suspended by FINRA  James Speno was previously licensed with Morgan Stanley and Oppenheimer & Co. Inc. Reported by FINRA on January 3, 2017, James Speno, was suspended from association with any FINRA member in any capacity for thirty business days and fined $5,000. FINRA reports that …

Goodman and Nekvasil May Recover Investor Losses | Matthew J. Giannone (Matthew Giannone), Financial Advisor Suspended from Securities Industry  Matthew Giannone was previously licensed with Oppenheimer & Co. Inc. and Merrill Lynch. Reported by FINRA on December 28, 2016, Matthew Giannone, was suspended from association with any FINRA member in any capacity for thirty business days and fined $7,500. FINRA reports …

Jeffrey Paul Dragon (Jeffrey Dragon) – Financial Advisor/Broker Jeffrey Dragon Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses  Jeffrey Paul Dragon (Jeffrey Dragon) CRD #1874038 Jeffrey Dragon was a formerly licensed financial advisor with Berthel, Fisher & Company Financial Services. Jeffrey Dragon was suspended from the securities and investment banking industry for 21 months on January …