Estate Planning Specialists, LLC, a Division of Phillips Financial Services – Goodman & Nekvasil P.A. Files Arbitration Claim on Future Income Payments Todd Phillips is the President of Estate Planning Specialists LLC and Phillips Financial Services LLC. Estate Planning Specialists, LLC is located in Gilbert, AZ and purports to focus on developing strategies that protect your wealth and maximize the distribution of your …
Roy Failla, Customer Complaint Seeks $1.5 Million | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Roy Failla, Customer Complaint Seeks $1.5 Million Roy Failla has been licensed with First Standard Financial Company LLC since 2014. Roy Failla was previously licensed with Alexander Capital, L.P. FINRA reports that a complaint involving Roy Failla’s conduct with Alexander Capital, L.P. & First Standard Financial Company LLC was filed, alleging …
Vince Santoro – Vincent Santoro, Financial Advisor Barred from Securities Industry
Goodman & Nekvasil P.A., May Recover Investor Losses | Vince Santoro, Financial Advisor Barred from Securities Industry Vince Santoro was a previously licensed financial advisor with State Farm VP Management Corp in Lake Mary, FL. FINRA reports that Vince Santoro was barred from the securities and investment banking industry in April 2018. ACCORDING TO FINRA: Vince Santoro consented to the sanction …
Jeff Wilson – Jeffrey Randolph Wilson, Four Customer Complaints Alleging Sales Practice Misconduct by Financial Adviser Jeffrey Wilson Settled
Goodman & Nekvasil P.A., May Recover Investor Losses | Jeff Wilson – Jeffrey Randolph Wilson, Four Customer Complaints Alleging Sales Practice Misconduct by Financial Adviser Jeffrey Wilson Settled Jeff Wilson is currently licensed with Wells Fargo Clearing Services, LLC in Las Cruces, New Mexico. According to Jeff Wilson’s CRD, four customer complaints were filed alleging sales practice violations by Jeff …
Thomas Meier – Thomas Alan Meier, Financial Advisor Barred from Securities Industry
Goodman & Nekvasil P.A., May Recover Investor Losses | Thomas Meier – Thomas Alan Meier, Financial Advisor Barred from Securities Industry Thomas Meier was licensed with Morgan Stanley from 2009 to 2016 in Miami, Florida. FINRA reports that Thomas Meier was barred from the securities and investment banking industry in March 2018. ACCORDING TO FINRA: Thomas Meier consented to the …
Dudley Franklin Stephens – Dudley Stephens, Financial Advisor Barred from Securities Industry
Goodman & Nekvasil P.A., May Recover Investor Losses | Dudley Franklin Stephens – Dudley Stephens, Financial Advisor Barred from Securities Industry Dudley Stephens aka Stephen Franklin Dudley CRD #4119268 Dudley Stephens was previously licensed with Coastal Equities, Inc., Prospera Financial Services, Inc. and Wells Fargo Advisors, LLC. FINRA reports that Dudley Stephens was barred from the securities industry in December 2018. …
Laurence Torres (Larry Torres), Financial Advisor Barred by SEC | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Laurence Torres (Larry Torres), Financial Advisor Barred by SEC Larry Torres was previously licensed with Larry Torres. FINRA reports that Larry Torres was barred from the securities industry in February 2018. ACCORDING TO THE SEC: The Securities and Exchange Commission (“Commission”) deems it appropriate and in the public interest that public administrative …
Brian Midi, Financial Advisor Resigned from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Brian Midi, Financial Advisor Resigned from Firm Brian Midi was a formerly licensed financial advisor with LPL Financial LLC and Rockwell Global Capital LLC. LPL Financial LLC reported to FINRA that Brian Midi resigned on April 12, 2016. LPL Financial LLC reported to FINRA that Brian Midi allegedly violated Firm policy concerning …
Goodman & Nekvasil, P.A., May Recover Investor Losses | Affimed N.V. (AFMD)
Affimed N.V. (AFMD) | Goodman & Nekvasil, P.A., May Recover Investor Losses According to Yahoo! Finance Affimed N.V., a clinical-stage biopharmaceutical company, focuses on discovering and developing cancer immunotherapies in the United States, Europe, and Germany. The company was formerly known as Affimed Therapeutics B.V. and changed its name to Afimed N.V. in October 2014. Affimed N.V. was founded in 2000 …
Chris Cavallaro – Chris Carl Cavallaro, Arbitration Claim Filed Involving Financial Advisor
Goodman & Nekvasil P.A. May Recover Investor Losses on Future Income Payments, LLC | Chris Cavallaro – Chris Carl Cavallaro, Arbitration Claim Filed Involving Financial Advisor Chris Cavallaro was licensed with Lincoln Financial Advisors from 2003 until 2016. Chris Cavallaro is currently licensed with LPL Financial LLC. FINRA reports that an arbitration claim has been filed, alleging that Chris Cavallaro may …