Scott McAfee – Kenneth Scott McAfee, Financial Advisor Resigned from Merrill Lynch | Goodman & Nekvasil P.A., May Recover Losses CRD#: 4993087 Scott McAfee is currently registered with Signal Securities, Inc. in Fort Worth, Texas. Scott McAfee was previously licensed with Merrill Lynch. According to Scott McAfee’s CRD, Scott McAfee resigned from Merrill Lynch in 2017, after allegations of conduct …
Michael Murphy – Michael Patrick Murphy, Complaint Filed by FINRA
Goodman & Nekvasil P.A., May Recover Investor Losses | Michael Murphy – Michael Patrick Murphy, Complaint Filed by FINRA CRD # 2596905 Michael Murphy has been licensed with Columbus Advisory Group, Ltd. Since 2003. FINRA reports that it has filed a complaint against Michael Murphy. ACCORDING TO FINRA: From February 2014 through May 2018, Michael Patrick Murphy willfully failed to …
Renee Altamirano – Renee Valerie Altamirano, Financial Advisor Barred from Securities Industry
Renee Altamirano – Renee Valerie Altamirano, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Renee Altamirano, Renee Valerie Bibens, Renee Valerie Woodock, CRD #222170 Renee Altamirano was a formerly licensed financial advisor with LPL Financial LLC in Hot Springs Village, Arkansas. According to Renee Altamirano’s CRD, Renee Altamirano was discharged by LPL Financial …
Van Pappas, Financial Advisor Discharged by Investacorp, Inc.
Goodman & Nekvasil P.A., May Recover Investor Losses | Van Pappas, Financial Advisor Discharged by Investacorp, Inc. Van Pappas CRD #:4330569 From 2012 until Van Pappas’s discharge in 2015, Van Pappas was licensed with Investacorp, Inc. in Alpharetta, Georgia. Van Pappas is now licensed with Kestra Investment Services, LLC. Investacorp, Inc. reported to FINRA that Van Pappas was discharged from Investacorp, …
Clay Rucker – Clay Cale Rucker, Arbitration Claim Filed Involving Financial Advisor
Clay Rucker – Clay Cale Rucker, Arbitration Claim Filed Involving Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Clay Rucker CRD #1347169 Clay Rucker has been licensed with Raymond James in Atlanta, Georgia since 1997. Clay Rucker reported to FINRA that an arbitration claim was filed involving Clay Rucker’s conduct while employed with Raymond James & Associates, …
David Ferland – David L. Ferland, Lawsuit Involving Financial Advisor Settled
David Ferland – David L. Ferland, Lawsuit Involving Financial Advisor Settled | Goodman & Nekvasil P.A., May Recover Investor Losses David Ferland CRD #5034103 David Ferland has been licensed with Ameriprise Financial Services, Inc. since 2012. David Ferland reported to FINRA that a lawsuit involving David Ferland’s conduct has been filed. INVEST Financial Corporation reported to FINRA that the plaintiff …
Richard Botkin – Richard Simon Botkin, Financial Advisor Suspended from Securities Industry
Richard Botkin – Richard Simon Botkin, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Richard Botkin CRD #1571729 Richard Botkin is currently licensed with Stifel, Nicolaus & Company, Incorporated in Roseville, California. Richard Botkin was previously licensed with Morgan Stanley. According to FINRA: Richard Botkin was suspended for four months and fined $15,000. …
Gayle Dilla – Financial Advisor Gayle Dilla Resigned from Firm
Gayle Dilla – Financial Advisor Gayle Dilla Resigned from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses Gayle Dilla CRD #1633766 Gayle Dilla is currently licensed with NBC Securities, Inc. Gayle Dilla was previously licensed with UBS Financial Services, Inc. According to Gayle Dilla’s CRD, Gayle Dilla was discharged from UBS Financial Services, Inc. on November 7, 2017 …
Rob Schultz – Robert Nathan Schultz, Arbitration Claim Filed Involving Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses
Rob Schultz – Robert Nathan Schultz, Arbitration Claim Filed Involving Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Robert Schultz has been licensed with Wells Fargo since 2015 in Houston, Texas. Robert Schultz was previously licensed with UBS Financial Services, Inc. According to Robert Schultz’ CRD, an arbitration claim was filed alleging unsuitable and excessive trading, commissions …
Julian Gingold – Financial Advisor Julian Gingold Discharged from UBS Financial Services, Inc.
Julian Gingold – Financial Advisor Julian Gingold Discharged from UBS Financial Services, Inc. | Goodman & Nekvasil P.A., May Recover Investor Losses Julian Gingold CRD #222170 Julian Gingold was a formerly licensed financial advisor with UBS Financial Services, Inc. in New York. UBS Financial Services, Inc. reported to FINRA that Julian Gingold was discharged on April 23, 2018 after the Firm …