Scott Garrison – Stanley Scott Garrison, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Scott Garrison CRD #1126118 Scott Garrison was a formerly licensed financial advisor with LPL Financial LLC in Bakersfield, California. FINRA reports that Scott Garrison was suspended for 4 months in August 2017. ACCORDING TO FINRA: Scott Garrison consented to …
Todd Hitt – SEC Charges Developer Todd Hitt with Fraud
Todd Hitt – SEC Charges Developer Todd Hitt with Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Todd Elliott Hitt, Kiddar Capital LLC and Kiddar Group Holdings, Inc. ACCORDING TO THE SEC: The Securities and Exchange Commission charged a Virginia real estate developer with skimming investor funds that were intended for use in purchasing …
Suihock Goy – Suihock Goy, Arbitration Claim Filed Against Financial Advisor
Suihock Goy – Suihock Goy, Arbitration Claim Filed Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses Suihock Goy is currently registered with NI Advisors in California. According to Suihock Goy’s CRD, an arbitration claim has been filed alleging negligence, breach of fiduciary, duty, negligent supervision in sale of Oil & Gas LP interest. This arbitration claim is …
David Manor – Financial Advisor/Broker David Manor Previously Suspended from Securities Industry | Recover Investment Losses
David Manor – Financial Advisor/Broker David Manor Previously Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses David Manor CRD #6033220 David Manor was a previously licensed financial advisor/broker with Wells Fargo Clearing Services and Santander Securities LLC. According to FINRA, David Manor was suspended from the securities industry for nine months beginning in October 2019. …
Chris Hawn – Christopher Hawn, Financial Advisor Suspended from Securities Industry
Chris Hawn – Christopher Hawn, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Chris Hawn CRD #4776341 Chris Hawn was previously licensed with ALPS Distributors, Inc. in Denver, Colorado. According to FINRA: Chris Hawn was suspended for six months in June 2017. FINRA reports that Chris Hawn consented to the sanctions and to …
James Schaedler – James Robert Schaedler Jr., Financial Advisor Barred from Securities Industry
James Schaedler – James Robert Schaedler Jr., Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses James Schaedler was licensed with Wells Fargo from 2010 to 2017 in Anaheim, CA. FINRA reports that James Schaedler was barred from the securities and investment banking industry in June 2017. ACCORDING TO FINRA: James Schaedler consented to …
Leslie Koonce – Leslie Rhodes Koonce, Financial Advisor Barred from Securities Industry
Leslie Koonce – Leslie Rhodes Koonce, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Leslie Koonce CRD # 1131758 Leslie Koonce was previously licensed with EK Riley Investments, LLC, Cetera Advisor Networks LLC and LPL Financial LLC in Menlo Park, California. FINRA reports that Leslie Koonce was barred from the securities industry in …
Ralph Marra – Ralph Brian Marra, Financial Advisor Suspended by FINRA
Ralph Marra – Ralph Brian Marra, Financial Advisor Suspended by FINRA | Goodman and Nekvasil May Recover Investors Losses Ralph Marra is currently licensed with National Securities Corporation in Clearwater, Florida. Ralph Marra was previously licensed with Morgan Stanley. According to Ralph Marra’s CRD, Ralph Marra, was suspended from association with any FINRA member in any capacity for 20 business …
Phillip Michael Carter d/b/a North Forty Development – SEC Charges with Fraud
Phillip Michael Carter d/b/a North Forty Development – SEC Charges with Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Phillip Michael Carter d/b/a North Forty Development ACCORDING TO THE SEC: The Securities and Exchange Commission announced that it filed charges against Texas resident and real estate developer Phillip Michael Carter, two other individuals, and …
Joe Treece – Joe Don Treece, Financial Advisor Barred by FINRA
Joe Treece – Joe Don Treece, Financial Advisor Barred by FINRA | Goodman & Nekvasil P.A., May Recover Losses CRD#: 2925735 Joe Treece was previously licensed with Arvest Wealth Management in Bentonville, Arkansas and Raymond James & Associates, Inc. According to Joe Treece’s CRD, Joe Treece was barred from the securities industry in January, 2017. FINRA reports that Joe Treece …