Goodman and Nekvasil May Recover Investors Losses | Stewart Clinton Malloy (Stewart Malloy), Financial Advisor Barred by FINRA  Stewart Malloy was licensed with Morgan Stanley from 2009 to 2015. FINRA reports that Stewart Malloy was barred from association with any Financial Industry Regulatory Authority on January 9, 2019. FINRA found that Stewart Malloy twice failed to appear and provide FINRA with …

Goodman and Nekvasil May Recover Investors Losses | Malcolm J Babin (Malcolm Babin), Financial Advisor Barred by FINRA  Malcolm Babin was a licensed financial advisor with PFS Investments, Inc. from September 2009 to May 2015. Reported by FINRA on July 30, 2015, Malcolm Babin, was barred from association with any Financial Industry Regulatory Authority (FINRA) member firm. FINRA reports that Michael Babin …

Goodman and Nekvasil May Recover Investors Losses | Michael Talin – Financial Advisor Michael Talin Barred by FINRA  Michael Talin CRD #3121059 Reported by FINRA on July 28, 2015, Michael Jeffrey Talin, was barred from association with any Financial Industry Regulatory Authority (FINRA) member firm. According to FINRA, Michael Talin failed to cooperate with investigators after a customer alleged that Michael …

Goodman and Nekvasil May Recover Investors Losses | Daniel Retzke, Financial Advisor Barred by FINRA  FINRA reports on March 6, 2015, Daniel Retzke was barred from the securities industry. FINRA reports that there was an investigation into allegations that Daniel Retzke solicited a loan from a customer of his member firm and sold private securities offerings away from the firm without …

Goodman and Nekvasil May Recover Investors Losses | Kai Chong Cheng, Financial Advisor Barred by FINRA  Reported by FINRA on June 30, 2015, Kai Chong Cheng, was barred from association with any Financial Industry Regulatory Authority (FINRA) member firm resulting from his being accused of unauthorized trading in a customer account.  FINRA reports that Kai Chong Cheng also misrepresented and omitted …

Goodman and Nekvasil May Recover Investors Losses | David Blasik – David J. Blasik, Financial Advisor Barred by FINRA   David Blasik CRD #4456605 According to FINRA on January 29, 2015, David Blasik was barred after allegedly failing to provide documents and information requested by FINRA. The findings stated that FINRA was investigating allegations that Blasik engaged in an unapproved and undisclosed …

Goodman and Nekvasil May Recover Investors Losses | Abed William Lulu (Abed Lulu), Financial Advisor Barred by FINRA  Reported by FINRA on May 7, 2018, Abed Lulu was barred by the Financial Industry Regulatory Authority (FINRA). According to FINRA, Abed Lulu failed to respond to FINRA request for information. FINRA also reflects the settling of a customer dispute that alleged unsuitability …

Goodman and Nekvasil May Recover Investors Losses | Justin Amaral, Financial Advisor Justin Amaral Barred by FINRA  Justin Amaral CRD #4440980 Reported by FINRA on June 19, 2015, Justin Amaral, was barred after Just Amaral failed to appear for on-the-record testimony requested by FINRA.  According to a staff attorney for the New Hampshire Securities Bureau, Morgan Stanley settled charges that it …

Goodman and Nekvasil May Recover Investors Losses | Ronald Seth Cohen (Ronald Cohen), Financial Advisor Fined and Suspended by FINRA  Reported by FINRA on June 17, 2015, Ronald Cohen, was fined $10,000 and suspended from association with any Financial Industry Regulatory Authority (FINRA) member firm for four months. FINRA alleged that Cohen engaged in three outside business activities without providing prior …

Goodman and Nekvasil May Recover Investors Losses | Mark Jude Ketner (Mark Ketner), Financial Advisor Suspended by FINRA  According to FINRA on March 27, 2018, Mark Ketner was suspended after allegations that Ketner engaged in an unsuitable pattern of short-term trading of unit investment trusts (UITs) in connection with the accounts of customers. FINRA reports that Mark Ketner repeatedly recommended that …