Goodman and Nekvasil May Recover Investors Losses | Robert C Marrone (Robert Marrone), Financial Advisor Barred by FINRA  Robert Marrone was licensed with Morgan Stanley from 2009 until 2014. FINRA reports that Robert Marrone was barred from the securities industry in September 2015.  Robert Marrone consented to the sanctions and to the entry of findings that Robert Marrone refused to respond …

Willard Golightly – Financial Advisor Willard Golightly Barred by FINRA | Goodman and Nekvasil May Recover Investors Losses  Willard Golightly aka Bill Golightly #4395250 FINRA reports that Willard Golightly a/k/a Bill Golightly, was barred indefinitely from any principal capacity.  FINRA reports that Bill Golightly consented to the sanctions and to the entry of findings that he failed to appropriately supervise the …

Goodman and Nekvasil May Recover Investors Losses | Tom Abel Puentes, Financial Advisor Suspended by FINRA FINRA reports that on November 7, 2016, Tom Puentes, was suspended from association with any FINRA member in any capacity for thirty days and fined $15,000.   FINRA reports Tom Puentes consented to the sanctions and to the entry of findings that Tom Puentes exercised …

Goodman and Nekvasil May Recover Investors Losses | Jeffrey Duane Jacobson (Jeffrey Jacobson), Financial Advisor Suspended by FINRA  Reported by FINRA on October 18, 2016, Jeffrey Jacobson, was suspended from association with any FINRA member in principal capacity for fifteen business days and fined $7,500.  Jeffrey Jacobson entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory …

Goodman & Nekvasil P.A., May Recover Investor Losses | William Herman Biegel (William Biegel), Arbitration Claim Filed Involving Financial Advisor  William Biegel was licensed with Raymond James & Associates, Inc. from 1997 until 2017. FINRA reports that an arbitration claim was filed involving William Biegel’s conduct with Raymond James & Associates, Inc. This arbitration claim alleges suitability, overconcentration, negligence, common law …

Goodman and Nekvasil May Recover Investors Losses | Mark Tauzin, Financial Advisor Suspended by FINRA  Mark Tauzin was suspended from association with any FINRA member in any capacity for eight months and fined approximately $225,000. Mark Tauzin entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority (FINRA) Department of Enforcement to resolve allegations FINRA made …

Goodman and Nekvasil May Recover Investors Losses | Brad Brooks, Pending FINRA Complaint Involving Financial Advisor  Brad Brooks, Brad Curtis Brooks CRD #1584633 Reported by FINRA on October 17, 2016, Brad Brooks, was named a respondent in a FINRA complaint alleging that Brad Brooks member firm, acting through him, failed to adequately supervise a registered representative’s outside business activities (OBA). FINRA …

Goodman and Nekvasil May Recover Investors Losses | Fernando de la Lama Merinos, Financial Advisor Barred from Securities Industry Reported by FINRA on October 24, 2016, Fernando de la Lama Merinos, was named a respondent in a FINRA complaint alleging that Fernando De la Lama Merinos failed to provide any response to requests for documents and information related to a FINRA …

Goodman and Nekvasil May Recover Investors Losses | Michael Babyak Jr, II (Michael Babyak), Financial Advisor Barred from Securities Industry  Michael Babyak was barred from association with any FINRA member in any capacity indefinitely. Michael Babyak entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority (FINRA) Department of Enforcement to resolve allegations FINRA made against …

Goodman & Nekvasil P.A., May Recover Investor Losses | Joseph Alan Likens (Joseph Likens), Financial Advisor Barred from Securities Industry  Joseph Likens was a formerly licensed financial advisor with Merrill Lynch. Joseph Likens was barred from the securities and investment banking industry on November 1, 2016. FINRA reports that Joseph Likens failed to respond to FINRA request for information. Merrill Lynch, …