Goodman & Nekvasil P.A., May Recover Investor Losses | Jim Jinkook Seol (Jim Seol), Financial Advisor Barred from Securities Industry Pending Appeal  From 1997 until Jim Seol’s discharge in 2014, Jim Seol was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Jim Seol was discharged from Ameriprise Financial Services, Inc. on May 28, 2014. Ameriprise Financial Services, Inc. reported …

Goodman & Nekvasil P.A., May Recover Investor Losses | David Wayne Krumrey (David Krumrey), Financial Advisor Barred from Securities Industry  From 2009 until David Krumrey’s discharge in 2017, David Krumrey was licensed with Oppenheimer & Co. Inc. According to FINRA’s records, David Krumrey was discharged from Oppenheimer & Co. Inc. on August 31, 2017. Oppenheimer & Co. Inc. reported to FINRA …

Goodman & Nekvasil P.A., May Recover Investor Losses | Shannon Kathleen Daniels (Shannon Daniels) a/k/a Shannon Kathleen Bryant and Shannon Kathleen Sterlin, Financial Advisor Barred from Securities Industry From 2011 until Shannon Daniels’ discharge in 2016, Shannon Daniels worked for U.S. Bancorp Investments, Inc. According to FINRA’s records, Shannon Daniels was fired by U.S. Bancorp Investments, Inc. on June 29, 2016. …

Jerry Wayne Devins (Jerry Devins), Arbitration Claim Filed Involving Financial Advisor | Goodman & Nekvasil P.A, May Recover Investor Losses  From 2014 until 2017, Jerry Devins was licensed with Raymond James Financial Services, Inc. FINRA reports an arbitration claim/complaint was filed alleging sales practice violations involving Jerry Devins. The claim also alleged breach of fiduciary duty. The case did not …

Trevor Gordon – Financial Advisor Trevor Gordon Named in FINRA Complaint | Goodman & Nekvasil, P.A. May Recover Investor Losses Trevor Gordon CRD #2195122 Since 2006, Trevor Gordon has been licensed with Sandlapper Securities, LLC. FINRA reports that Trevor Gordon was named, in September 2017, in a FINRA disciplinary action. FINRA alleges that Trevor Gordon, with Trevor Gordon’s member firm …

Goodman & Nekvasil P.A, May Recover Investor Losses | Tom Puentes, Financial Advisor Suspended from Securities Industry From 2009 until Tom Puentes’ discharge in 2014, Tom Puentes was licensed with Morgan Stanley Smith Barney. Tom Puentes was subsequently licensed with Kestra Investment Services, LLC. According to FINRA records Tom Puentes was discharged from Morgan Stanley Smith Barney on October 30, 2014. …

Bimal Shah, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A, May Recover Investor Losses  Bimal Shah CRD #2685812 From 2014 until Bimal Shah’s discharge in 2015 Bimal Shah was licensed with Sterne Agee Financial Services, Inc. Bimal Shah was previously licensed with WRP Investments, Inc. and was subsequently licensed with Independent Financial Group, LLC. According to FINRA records, …

Goodman & Nekvasil P.A, May Recover Investor Losses | Kenneth Enlo Crosser (Ken Crosser), Financial Advisor Barred from Securities Industry From 2012 until 2013, Ken Crosser was licensed with Cambridge Investment Research, Inc. Ken Crosser was subsequently licensed with Girard Securities, Inc. FINRA brought a disciplinary action against Ken Crosser in 2015. Ken Crosser consented to a bar from the securities …

Goodman & Nekvasil P.A, May Recover Investor Losses | Rocco Roveccio, SEC Files Complaint Involving Financial Advisor From 2012 until 2014 Rocco Roveccio was licensed with Alexander Capital, L.P. Rocco Roveccio is now licensed with First Standard Financial Company LLC. The SEC filed a complaint alleging sales practice violations against Rocco Roveccio in 2017. The claim alleges that Rocco Roveccio recommended …

Goodman & Nekvasil P.A., May Recover Investor Losses | William Christian Gennity (Billy Gennity), SEC Files Complaint Involving Financial Advisor From 2012 until 2014 Billy Gennity was licensed with Alexander Capital, L.P.  FINRA reports that Billy Gennity was subsequently licensed with First Standard Financial Company LLC. The SEC filed a complaint alleging sales practice violations against Billy Gennity in 2017. The …