Goodman & Nekvasil P.A., May Recover Investor Losses | Kelly Althar, Financial Advisor Barred from Securities Industry  Kelly Althar was licensed with Financial West Group from 2011 to 2015. FINRA reports that Kelly Althar was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on February 10, 2017. FINRA reports that Kelly Althar consented to …

Goodman & Nekvasil P.A., May Recover Investor Losses on Promissory Notes | John Hanson – Financial Advisor John Hanson Barred from Securities Industry and Guilty of Wire Fraud  John Hanson CRD #2420584 John Hanson was licensed with Northwestern Mutual Investment Services, LLC from 2004 to 2014. FINRA reports that John Hanson was barred from the securities and investment banking industry by …

Ralph Quintana – Arbitration Claim Filed Involving Financial Advisor Ralph Quintana | Goodman & Nekvasil, PA May Recover Investor Losses Ralph Quintana CRD #2284803 From 2008 until Ralph Quintana’s discharge in 2013, Ralph Quintana was licensed with LPL Financial LLC. Ralph Quintana is now licensed with Centaurus Financial, Inc. According to FINRA’s records, Ralph Quintana was discharged from LPL Financial …

Goodman & Nekvasil P.A., May Recover Investor Losses | Patricia S. Miller (Patricia Miller), Financial Advisor Barred from Securities Industry and Guilty of Wire Fraud From 2010 until Patricia Miller’s discharge in 2014, Patricia Miller worked for Investors Capital Corp. According to FINRA’s records, Patricia Miller was discharged from Investors Capital Corp. on May 21, 2014. Investors Capital Corp. reported to …

Goodman & Nekvasil P.A., May Recover Investor Losses | Stuart Horowitz, Financial Advisor Suspended from Securities Industry  From 2009 until Stuart Horowitz’ termination in 2016, Stuart Horowitz was licensed with Securities America, Inc. According to FINRA’s records, Stuart Horowitz was terminated by Securities America, Inc. on January 25, 2016. Securities America, Inc. reported to FINRA that after consultation with FINRA, Stuart …

Goodman & Nekvasil P.A., May Recover Investor Losses | Jason Andrew Muskey (Jason Muskey) Pled Guilty to Mail Fraud, Aggravated Identity Theft and Money Laundering From 2006 until Jason Muskey’s discharge in 2014, Jason Muskey worked for Ameritas Investment Corp. According to FINRA’s records, Jason Muskey was fired by Ameritas Investment Corp. on June 18, 2014. Ameritas Investment Corp. reported to …

Goodman & Nekvasil P.A., May Recover Investor Losses | Noel Ray Vincent, Arbitration Claim Filed Against Financial Advisor Noel Vincent was formerly licensed with Madison Avenue Securities LLC from 2009 to 2018. FINRA reports that 5 arbitration claims were filed involving Noel Vincent’s conduct with Madison Avenue Securities, LLC, alleging negligence, misrepresentation, omission, breach of fiduciary duty, inadequate due diligence, suitability and/or …

Goodman & Nekvasil P.A., May Recover Investor Losses | Timothy Neil Payne (Tim Payne) Discharged from Wilbanks Securities, Inc. and Barred from Securities Industry From 2009 until Tim Payne’s discharge in 2014, Tim Payne worked for Wilbanks Securities, Inc. Tim Payne subsequently worked for Investors Capital Corp. According to FINRA’s records, Tim Payne was terminated by Wilbanks Securities, Inc. on January …

Goodman & Nekvasil P.A., May Recover Investor Losses | Edward Joseph Bosch Sr. (Edward Bosch) Discharged From LPL Financial LLC From 2010 until Edward Bosch’s discharge in 2016, Edward Bosch was licensed with LPL Financial LLC. According to FINRA’s records, Edward Bosch was discharged from LPL Financial LLC on March 1, 2016. LPL Financial LLC reported to FINRA that Edward Bosch …

Goodman & Nekvasil P.A., May Recover Investor Losses | David Joseph Escarcega (David Escarcega), Financial Advisor Barred from Securities Industry From 2010 until David Escarcega’s firing in 2016, David Escarcega was licensed with Center Street Securities, Inc. According to FINRA’s records, David Escarcega was fired by Center Street Securities, Inc. on April 5, 2016. Center Street Securities, Inc. reported to FINRA …