Goodman & Nekvasil P.A., May Recover Investor Losses | Ralph VonLutzow, Financial Advisor Barred from Securities Industry  Ralph VonLutzow was licensed with Oberweiss Securities, Inc. from 2003 to 2016. FINRA reports that that Ralph VonLutzow was barred from the securities industry on December 3, 2018 FINRA reports that Ralph VonLutzow consented to the sanction and to the entry of findings that …

Goodman & Nekvasil P.A., May Recover Investor Losses | Michael Dennis Jackson, Financial Advisor Suspended from Securities Industry  Michael Dennis Jackson was formerly licensed with Securities America, Inc. from 2009 to 2017. FINRA reports that Michael Dennis Jackson was suspended from the securities industry in 2018. FINRA reports that Michael Dennis Jackson failed to respond to FINRA request for information. FINRA …

Goodman & Nekvasil P.A., May Recover Investor Losses | Paul Wayne Ewing (Paul Ewing) Licensed with Cetera Advisors LLC  Paul Ewing has been licensed with Cetera Advisors LLC since 2004. FINRA reports that a complaint and/or arbitration claim was filed involving Paul Ewing’s conduct with Cetera Advisors LLC., alleging breach of fiduciary duty, Kansas securities regulation violations, negligence, and misrepresentation. This …

Goodman & Nekvasil P.A., May Recover Investor Losses | Peter Dochinez, Financial Advisor Censured and Fined  Peter Dochinez was a formerly licensed financial advisor with Trustmont Financial Group, Inc. FINRA reports that Peter Dochinez consented to the sanction and to the entry of findings that Peter Dochinez failed to establish, maintain and enforce an adequate system of supervisory control policies and …

Goodman & Nekvasil P.A, May Recover Investor Losses | Anthony Sica, Financial Advisor Suspended from Securities Industry Since 2003, Anthony Sica has been licensed with Joseph Gunnar & Co. LLC. FINRA brought a disciplinary action against Anthony Sica in 2017. Anthony Sica consented to a 3-month suspension, a $20,000 monetary fine, and $3,039.11 in restitution. Anthony Sica consented to the sanctions …

Goodman & Nekvasil P.A., May Recover Investor Losses | Daniel Joseph Hushek III, Financial Advisor Suspended from Securities Industry  Daniel Hushek was formerly licensed with G.F. Investment Services, LLC. FINRA reports that Daniel Hushek was suspended from the securities industry for 15 months in 2017. FINRA reports that Daniel Hushek consented to the sanction and to the entry of findings that …

Nicholas Radke – Financial Advisor Nicholas Radke Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Nicholas Radke CRD #2610246 Nicholas Radke was a formerly licensed financial advisor with MML Investors Services, LLC and American Independent Securities Group, LLC. FINRA reports that Nicholas Radke was barred from the securities industry in December 2018. FINRA reports that Nicholas …

Goodman & Nekvasil P.A., May Recover Investor Losses | Jill Cody (Jill Tramontano), Financial Advisor Barred from Securities Industry  Jill Cody a/k/a Jill Tramontano was a formerly licensed financial advisor with Concorde Investment Services, LLC. FINRA reports that Jill Cody (Jill Tramontano) was barred from the securities industry on February 23, 2017. FINRA reports that Jill Cody (Jill Tramontano) consented to …

Goodman & Nekvasil P.A., May Recover Investor Losses | Mark Allan Miller (Mark Miller) Financial Advisor Ordered to Cease and Desist by State of Washington Mark Miller was previously licensed with J.P. Morgan Securities, LLC and Ameriprise Financial Services, Inc. The State of Washington Department of Financial Institutions alleged that Mark Miller falsely claimed that Mark Miller was not engaged in …

Goodman & Nekvasil P.A., May Recover Investor Losses | Michael Lessard, Financial Advisor Suspended by FINRA  Michael Lessard was formerly licensed with Dempsey Lord Smith, LLC, Southeast Investments, N.C., Inc. and Metlife Securities, Inc. FINRA reports that Michael Lessard was discharged from Dempsey Lord Smith, LLC in 2018. Dempsey Lord Smith, LLC reported to FINRA that during email review the firm …