Goodman & Nekvasil, P.A. May Recover Investor Losses | Jeannette Ann Adcock (Jeannette Adcock), Formerly Licensed Financial Advisor  Jeannette Adcock has been licensed with David A. Noyes & Company since 2017. Jeannette Adcock was previously licensed with Wayne Hummer Investments L.L.C. FINRA reports that a complaint was filed involving Jeannette Adcock’s conduct with Wayne Hummer Investments, with the customers alleging they …

Goodman & Nekvasil, P.A. May Recover Investor Losses | Brett David Ellis (Brett Ellis), Arbitration Claim Filed Involving Financial Advisor  Brett Ellis has been licensed with The GMS Group, LLC since 2007. FINRA reports that an arbitration claim was filed involving Brett Ellis’ conduct with The GMS Group, LLC, alleging misrepresentation, breach of fiduciary duty, unsuitable recommendations, and negligence from inception …

Roberto Montano – Financial Advisor/Broker Robert Montano Suspended by FINRA Roberto Montano CRD #3003372 Roberto Montano was previously licensed with Waddell & Reed and U.S. Bancorp Investments, Inc. FINRA reports that Roberto Montano, was suspended indefinitely from association with any FINRA member in any capacity on November 14, 2018. FINRA reports Roberto Montano failed to comply with an arbitration award …

Goodman and Nekvasil May Recover Investors Losses | John Scott Simpson (John Simpson), Financial Advisor Barred by FINRA  John Simpson was licensed with RBC Capital Markets LLC from 2009 to 2016. FINRA reports that John Simpson was barred from the securities industry on December 9, 2016. FINRA reports that John Simpson consented to the sanctions and to the entry of findings …

Goodman and Nekvasil May Recover Investor Losses | Jeffrey Alan Hill, Financial Advisor Suspended by FINRA  Jeffrey Hill was licensed with Dougherty & Company LLC from 2003 to 2014 and Wells Fargo Advisors from 2014 to 2016. Jeffrey Hill was suspended from association with any FINRA member in any capacity for fifteen months, fined $5,000 and a disgorgement of $45,000. FINRA …

Goodman and Nekvasil May Recover Investors Losses | Paul McLellan Alexander Jr (Paul Alexander), Financial Advisor Suspended by FINRA  Paul Alexander was licensed with Raymond James & Associates, Inc. from 2009 to 2015. FINRA reports that Paul Alexander was suspended from association with any FINRA member in any capacity for twenty business days and fined $5,000. FINRA reports Paul Alexander consented …

Goodman and Nekvasil May Recover Investors Losses | Richard Alan Sampley (Rick Sampley), Financial Advisor Suspended by FINRA FINRA reports that Rick Sampley was previously licensed with Morgan Keegan & Company and Raymond James & Associates, Inc. Rick Sampley, was suspended from association with any FINRA member in any capacity for ten months and fined $15,000. FINRA reports Rick Sampley consented …

Goodman and Nekvasil May Recover Investor Losses | James Francis Jurczak (James Jurczak), Financial Advisor Suspended by FINRA  James Jurczak was licensed with LPL Financial LLC from 2009 to 2015 and H. Beck, Inc. since 2016. FINRA reports that James Jurczak, was suspended from association with any FINRA member in any capacity for thirty days and fined $5,000. FINRA reports James …

Goodman and Nekvasil May Recover Investors Losses | Richard William Lunn Martin (Richard Martin), Financial Advisor Barred by FINRA  Richard Martin was licensed with G.F. Investment Services, LLC from 2009 to 2015. Reported by FINRA on June 27, 2016, Richard Martin, was barred from association with any FINRA member in any capacity indefinitely. FINRA reports that Richard Martin consented to the …

Goodman & Nekvasil P.A., May Recover Investor Losses | Jason Hyson Leblanc (Jason Leblanc), Financial Advisor Barred from Securities Industry  Jason Leblanc was a formerly licensed financial advisor with Girard Securities. Jason Leblanc was barred from the securities and investment banking industry on June 29, 2017. FINRA reports that Jason Leblanc consented to the sanction and to the entry of findings …