Goodman and Nekvasil May Recover Investor Losses | Lance E Slater (Lance Slater), Financial Advisor Barred by FINRA  Lance Slater was previously licensed with UBS Financial Services, Inc. and Morgan Stanley. FINRA reports that Lance Slater was barred from association with any FINRA member in any capacity indefinitely on March 18, 2016. Lance Slater consented to the sanctions and to the …

Goodman and Nekvasil May Recover Investors Losses | Dan Jon Carpenter (Dan Carpenter), Financial Advisor Barred by FINRA  Dan Carpenter was licensed with Northwestern Mutual Investment Services, LLC from 2004 to 2015. FINRA reports that Dan Carpenter was barred from association with any FINRA member in any capacity indefinitely. According to FINRA, Dan Carpenter consented to the sanction and to the …

Goodman and Nekvasil May Recover Investor Losses | Morissa Frances Rivo (Morissa Rivo), Financial Advisor Barred  Morissa Rivo was previously licensed with Signator Investors, Inc. and Metlife Securities, Inc. FINRA reports that Morissa Rivo was barred by the Financial Industry Regulatory Authority (FINRA) on January 15, 2016. According to FINRA, Morissa Rivo failed to appear for an, “on-the-record testimony” requested by …

Goodman and Nekvasil May Recover Investors Losses | Samuel Wylie Sloane (Samuel Sloane), Financial Advisor Barred by FINRA  Samuel Sloane was licensed with Morgan Stanley from 2009 to 2015. FINRA reports that Samuel Sloane was barred from the securities industry on December 14, 2015. FINRA reports that Samuel Sloane consented to the sanction and to the entry of findings that Samuel …

Goodman and Nekvasil May Recover Investors Losses | Glenn Robert King (Glenn King), Financial Advisor Barred from Securities Industry  Glenn King was licensed with Buckman, Buckman & Reid, Inc. from 2012 to 2015. FINRA reports that Glenn King was barred by the Financial Industry Regulatory Authority (FINRA) on July 20, 2017. FINRA reports that Glenn King was named a respondent in …

Goodman and Nekvasil May Recover Investors Losses | Clifford Morgan, Financial Advisor Barred by FINRA  Clifford Morgan was licensed with Uhlmann Price Securities, LLC from 2007 to 2014. FINRA reports that Clifford Morgan was barred from association with any FINRA member in any capacity indefinitely by the Financial Industry Regulatory Authority (FINRA) Department of Enforcement to resolve allegations FINRA made against …

Goodman and Nekvasil May Recover Investors Losses | Tracy Neal Wengert (Tracy Wengert) Financial Advisor Barred by FINRA  Tracy Wengert was licensed with Transamerica Financial Advisors, Inc. from 2012 to 2015. Tracy Wengert was barred from the securities industry on October 29, 2015. According to FINRA, Wengert was barred resulting from his failure to provide documents FINRA requested in connection with …

Goodman and Nekvasil May Recover Investor Losses | William Andrew Hightower (Bill Hightower), Financial Advisor Barred by FINRA Bill Hightower was previously licensed with Legacy Asset Securities, Inc. and UBS Financial Services, Inc. FINRA reports that Bill Hightower was barred from the securities industry on October 7, 2015. According to FINRA, Bill Hightower consented to the sanction and to the entry …

Goodman and Nekvasil May Recover Investors Losses | John Rocco – Financial Advisor John Rocco Barred by FINRA  John Rocco CRD #1347619 John Rocco was licensed with NYLife Securities LLC from 1985 to 2015. FINRA reports that John Rocco was barred from association with any FINRA member in any capacity indefinitely. FINRA reports that John Rocco consented to the sanction and …

Daniel Levine – Financial Advisor/Broker Daniel Levine Barred by FINRA | Goodman and Nekvasil May Recover Investor Losses  Daniel Levine Financial Advisor/Broker CRD #2874319 Daniel Levine was previously licensed with First Financial Equity Corporation, Morgan Stanley and UBS Financial Services, Inc. FINRA reports that Daniel Levine, was barred from association with any FINRA member in any capacity. FINRA reports that Daniel …