Goodman & Nekvasil, P.A., May Recover Your Investment Losses | Tuan Phan, Arbitration Claim Filed Against Financial Advisor Tuan Phan has been licensed with National Securities Corporation, since 2001. FINRA reports that an arbitration claim involving Tuan Phan’s conduct with National Securities Corporation was filed in October of 2017, alleging negligence and breach of fiduciary duty. This pending arbitration claim seeks …

Randy Hayes – Financial Advisor/Broker Randy Hayes Allegedly Made Unsuitable Investment Recommendations | Goodman & Nekvasil, P.A. May Recover Investor Losses Randy Hayes CRD #2224997 Randy Hayes was licensed with Morgan Stanley Smith Barney from 2009 until January 2016. The State of Washington Department of Financial Institutions Securities Division alleges that Randy Hayes made unsuitable investment recommendations through the purchase of …

Goodman & Nekvasil P.A., May Recover Investor Losses | William Derrington, Arbitration Claim Filed Against Financial Advisor  William Derrington was previously licensed with Independent Financial Group and KCD Financial, Inc. FINRA reports that an arbitration claim was filed alleging that William Derrington is the subject of an arbitration filed against the firm which alleges unsuitable recommendations. This arbitration claim was settled. …

Timary Delorme – Financial Advisor Timary Delorme Barred from Securities Industry | Goodman & Nekvasil, PA May Recover Investor Losses Timary Delorme CRD #736418 Timary Delorme was licensed with Wedbush Securities, Inc., from August 1981 to April 2018.  According to FINRA records, Timary Delmorme was discharged from Wedbush Securities in March 2018. Wedbush Securities, Inc. reported to FINRA that Timary …

Goodman And Nekvasil, P.A, May Recover Your Investment Losses | Ronald Richer, FINRA Arbitration Claim Filed  Ronald Richer has been a licensed financial advisor with Garden State Securities, Inc., since 2014. FINRA reports that an arbitration claim was filed in 2017, alleging churning and unsuitable transactions. According to FINRA, the claimants asserted the following causes of action: unsuitability and overconcentration; failure …

Goodman And Nekvasil, P.A. May Recover Investment Losses | Anthony Mampieri, Arbitration Claim Filed Against Financial Advisor  Anthony Mampieri has been licensed with Morgan Stanley since 2010. According to FINRA records, an arbitration claim was filed in 2016 involving Anthony Mampieri’s conduct with Morgan Stanley, alleging unsuitability with respect to structured product investments. This arbitration claim was settled for $110,000. If …

Jeffrey Kartheiser, Discharged from Raymond James & Associates, Inc.  | Goodman & Nekvasil P.A., May Recover Investor Losses From 1990 until Jeffrey Kartheiser’s discharge in 2017, Jeffrey Kartheiser was licensed with Raymond James & Associates, Inc. Jeffrey Kartheiser is now licensed with Stifel, Nicolaus & Company, Inc. According to FINRA’s records, Jeffrey Kartheiser was discharged from Raymond James & Associates, …

Paul Sponseller – Financial Advisor Paul Sponseller Discharged from Firm | Goodman & Nekvasil PA May Recover Investor Lossers Paul Sponseller CRD #2482717 From 2009 until Paul Sponseller’s discharge in 2017, Paul Sponseller was licensed with Raymond James & Associates, Inc. According to FINRA’s records, Paul Sponseller was discharged from Raymond James & Associates, Inc. on January 17, 2017. Raymond James & Associates, …

Goodman & Nekvasil P.A., May Recover Investor Losses | Mitchell Kurtz – Financial Advisor Mitchell Kurtz Barred from Securities Industry  Mitchell Kurtz CRD #2437746 Mitchell Kurtz is a formerly licensed financial advisor with Henley & Company LLC from 2010 to 2018. FINRA reports that Mitchell Kurtz was barred from the securities industry in 2018. FINRA reports that Mitchell Kurtz consented to …

Goodman & Nekvasil P.A., May Recover Investor Losses | Delores Kirkpatrick, Arbitration Claim Filed Against Financial Advisor  Delores Kirkpatrick has been licensed with Wells Fargo Clearing Services, LLC since 1990. FINRA reports that an arbitration claim involving Delores Kirkpatrick’s conduct with Wells Fargo Clearing Services, LLC., was filed in 2016, alleging that a Priority Credit Line was unsuitable and misrepresented. This …