Goodman & Nekvasil P.A., May Recover Investor Losses | David Wesley Wells (David Wells), Financial Advisor Barred from Securities Industry From 1999 until David Wells’ resignation in 2017, David Wells was licensed with Mid Atlantic Capital Corporation. According to FINRA’s records, David Wells was discharged from Mid Atlantic Capital Corporation on December 22, 2016. Mid Atlantic Capital Corporation reported to FINRA …
Patrick J Sands (Patrick Sands) Financial Advisor Discharged from Merrill Lynch | Goodman & Nekvasil P.A., May Recover Investor Losses
Patrick J Sands (Patrick Sands) Financial Advisor Discharged from Merrill Lynch | Goodman & Nekvasil P.A., May Recover Investor Losses From 2009 until Patrick Sands’ discharge in 2015, Patrick Sands was licensed with Merrill Lynch. According to FINRA’s records, Patrick Sands was discharged from Merrill Lynch on 11/19/2015. Merrill Lynch reported to FINRA that Patrick Sands allegedly engaged in conduct …
Paul Patitucci – Financial Advisor Paul Patitucci Discharged from Univest Investments, Inc.
Paul Patitucci – Financial Advisor Paul Patitucci Discharged from Univest Investments, Inc. | Goodman & Nekvasil P.A., May Recover Investor Losses Paul Patitucci CRD #2103517 From 2013 until Paul Patitucci’s discharge in 2017, Paul Patitucci was licensed with Univest Investments, Inc. According to FINRA’s records, Paul Patitucci was discharged from Univest Investments, Inc. on April 18, 2017. Univest Investments, Inc. reported …
Jeannette Ann Adcock (Jeannette Adcock), Formerly Licensed Financial Advisor | Goodman & Nekvasil, P.A. May Recover Investor Losses
Goodman & Nekvasil, P.A. May Recover Investor Losses | Jeannette Ann Adcock (Jeannette Adcock), Formerly Licensed Financial Advisor Jeannette Adcock has been licensed with David A. Noyes & Company since 2017. Jeannette Adcock was previously licensed with Wayne Hummer Investments L.L.C. FINRA reports that a complaint was filed involving Jeannette Adcock’s conduct with Wayne Hummer Investments, with the customers alleging they …
Brett David Ellis (Brett Ellis), Arbitration Claim Filed Involving Financial Advisor | Goodman & Nekvasil, P.A. May Recover Investor Losses
Goodman & Nekvasil, P.A. May Recover Investor Losses | Brett David Ellis (Brett Ellis), Arbitration Claim Filed Involving Financial Advisor Brett Ellis has been licensed with The GMS Group, LLC since 2007. FINRA reports that an arbitration claim was filed involving Brett Ellis’ conduct with The GMS Group, LLC, alleging misrepresentation, breach of fiduciary duty, unsuitable recommendations, and negligence from inception …
Roberto Montano – Financial Advisor/Broker Robert Montano Suspended by FINRA
Roberto Montano – Financial Advisor/Broker Robert Montano Suspended by FINRA Roberto Montano CRD #3003372 Roberto Montano was previously licensed with Waddell & Reed and U.S. Bancorp Investments, Inc. FINRA reports that Roberto Montano, was suspended indefinitely from association with any FINRA member in any capacity on November 14, 2018. FINRA reports Roberto Montano failed to comply with an arbitration award …
John Scott Simpson (John Simpson), Financial Advisor Barred by FINRA | Goodman and Nekvasil May Recover Investors Losses
Goodman and Nekvasil May Recover Investors Losses | John Scott Simpson (John Simpson), Financial Advisor Barred by FINRA John Simpson was licensed with RBC Capital Markets LLC from 2009 to 2016. FINRA reports that John Simpson was barred from the securities industry on December 9, 2016. FINRA reports that John Simpson consented to the sanctions and to the entry of findings …
Jeffrey Alan Hill, Financial Advisor Suspended by FINRA | Goodman and Nekvasil May Recover Investor Losses
Goodman and Nekvasil May Recover Investor Losses | Jeffrey Alan Hill, Financial Advisor Suspended by FINRA Jeffrey Hill was licensed with Dougherty & Company LLC from 2003 to 2014 and Wells Fargo Advisors from 2014 to 2016. Jeffrey Hill was suspended from association with any FINRA member in any capacity for fifteen months, fined $5,000 and a disgorgement of $45,000. FINRA …
Paul McLellan Alexander Jr (Paul Alexander), Financial Advisor Suspended by FINRA | Goodman and Nekvasil May Recover Investors Losses
Goodman and Nekvasil May Recover Investors Losses | Paul McLellan Alexander Jr (Paul Alexander), Financial Advisor Suspended by FINRA Paul Alexander was licensed with Raymond James & Associates, Inc. from 2009 to 2015. FINRA reports that Paul Alexander was suspended from association with any FINRA member in any capacity for twenty business days and fined $5,000. FINRA reports Paul Alexander consented …
Richard Alan Sampley (Rick Sampley), Financial Advisor Suspended by FINRA | Goodman and Nekvasil May Recover Investors Losses
Goodman and Nekvasil May Recover Investors Losses | Richard Alan Sampley (Rick Sampley), Financial Advisor Suspended by FINRA FINRA reports that Rick Sampley was previously licensed with Morgan Keegan & Company and Raymond James & Associates, Inc. Rick Sampley, was suspended from association with any FINRA member in any capacity for ten months and fined $15,000. FINRA reports Rick Sampley consented …