Tracy Turner – Financial Advisor/Broker Tracy Turner Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Tracy Turner CRD #1385745 Tracy Turner was previously licensed with Colorado Financial Services Corporation in Carlsbad, California. FINRA reports that Tracy Turner was barred from the securities industry and fined $272,879.04 in May 2017. According to FINRA, the sanctions were based …

Greg Anastos – Gregory J Anastos, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Greg Anastos CRD #5800831 Greg Anastos has been licensed with Craft Capital Management, LLC in New York since 2019. FINRA reports that Greg Anastos was suspended for four months and fined $2,500 in June 2018.   ACCORDING TO FINRA: Greg …

Nas Allan – Nasser Allan, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Nas Allan, Nasser Adel Allan, Sean Allan, Steven Allan CRD #4562149 Nas Allan has been licensed with Merrill Lynch since 2015. FINRA reports that Nas Allan was suspended for one month and fined $2,500 in June 2018.    ACCORDING TO …

Goodman & Nekvasil P.A. May Recover Investor Losses | Kimberly Sredich – SEC Charges with Misappropriation Scheme Securities and Exchange Commission Charges Kimberly Sredich with Misappropriation Scheme Kimberly Sredich was reportedly a sales assistant to a registered representative associated with Worklife Wealth Management, Inc. Worklife’s owner was reportedly affiliated with American Portfolio Financial Services. In this capacity, according to the SEC, …

Jack Howley – John C Howley, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses in Global Credit Recovery Jack Howley, John C Howley CRD #2229244 Update 9-18-19: Jack Howley was barred from the securities industry in September 2019.  FINRA reports that Jack Howley consented to the sanction and to the entry of findings …

Frederick McDonald – Frederick V. McDonald Jr., Massachusetts Files Complaint Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Frederick McDonald, CRD # 706872 Frederick McDonald was licensed with Gate US LLC from 2013 to 2015 in New York. According to Frederick Mconald’s CRD, the Commonwealth of Massachusetts filed a complaint against Frederick McDonald on April 17, …

Satya Brata Shaw (Satya Shaw) – Financial Advisor/Broker Satya Shaw Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Satya Shaw CRD # 1229175 Satya Shaw was a formerly licensed financial advisor with Center Street Securities, Inc. FINRA reports that Satya Shaw was suspended for six months and fined $10,000 in August 2017.  ACCORDING TO FINRA: Satya …

Andy Yip – Fan Kam Yip, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Fan Kam Yip, Andy Yip, CRD #4775948 Andy Yip was previously licensed with Raymond James Financial Services, Inc. ACCORDING TO FINRA: FINRA reports that Andy Yip was suspended from the securities industry in September 2017. Yip consented to the …

James Wilson – James Allen Wilson, Arbitration Claim Filed Involving Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses James Wilson CRD #730674 James Wilson was licensed with RBC Capital Markets, LLC in Indianapolis. According to James Wilson’s CRD, an arbitration claim was filed alleging overtrading in many accounts through the purchase of CEFs and other products. According …

Chip Unsworth – David Woods Unsworth Jr., Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Chip Unsworth, David Woods Unsworth Jr. CRD # 1609040 Chip Unsworth was a formerly licensed financial advisor with National Securities Corporation. FINRA reports that Chip Unsworth was suspended for 30 days and fined $5,000 in September 2018.   …