Goodman & Nekvasil P.A., May Recover Investor Losses | Jason N. Anderson (Jason Anderson), Financial Advisor Suspended from Securities Industry Jason Anderson was a formerly licensed financial advisor with IFS Securities, Kovack Securities, Inc. and LPL Financial LLC. FINRA reports that Jason Anderson was discharged from LPL Financial LLC in 2016 for allegedly conducting discretionary trading in brokerage account, in violation …
Danard Brown (Dan Brown), Licensed Financial Advisor with Joseph Stone Capital L.L.C. | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Danard Brown (Dan Brown), Licensed Financial Advisor with Joseph Stone Capital L.L.C. Dan Brown is a licensed financial advisor with Joseph Stone Capital L.L.C. FINRA reports that Danard Warthen Brown was named in a customer’s complaint that asserted the following causes of action: misrepresentation, churning, and unauthorized trading. In the Second Amended …
James Austin King III (Jim King), Licensed Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | James Austin King III (Jim King), Licensed Financial Advisor Jim King has been licensed with Commonwealth Financial Network since 2003. FINRA reports that 3 arbitration claims were filed involving Jim King’s conduct with Commonwealth Financial Network, these claims alleged fraud, unsuitability, breach of contract, negligence, negligent misrepresentations, breach of North Carolina Blue …
William David Lancaster (David Lancaster) Financial Advisor Barred for 2 Years by Oklahoma Department of Securities | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | William David Lancaster (David Lancaster) Financial Advisor Barred for 2 Years by Oklahoma Department of Securities David Lancaster was previously licensed with Arvest Wealth Management and Edward Jones. FINRA reports that David Lancaster resigned from Arvest Wealth Management in 2018. Arvest Wealth Management reported to FINRA allegations of discretionary trading as brought …
Kent Engelke, Financial Advisor Licensed with Independent Financial Group, LLC | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Kent Engelke, Financial Advisor Licensed with Independent Financial Group, LLC Kent Engelke has been licensed with Capitol Securities Management, Inc. since 2008. FINRA reports that an arbitration claim was filed involving Kent Engelke’s conduct with Capitol Securities Management, Inc. alleging that Kent Engelke invested in securities that were not in line with …
Caroline Korn, Financial Advisor Suspended by FINRA | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Caroline Korn, Financial Advisor Suspended by FINRA Caroline Korn is a formerly licensed financial advisor with Pinnacle Investments, LLC and Brighton Securities Corp. FINRA reports that Caroline Korn was discharged from Brighton Securities Corp. in 2014 for allegedly trading excessively in several accounts, generating unnecessarily high commissions. In addition, FINRA reports …
Bradley Kyle Scott, Formerly Licensed Financial Advisor with LPL Financial LLC | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Bradley Kyle Scott, Formerly Licensed Financial Advisor with LPL Financial LLC Bradley Scott has been licensed with LPL Financial LLC since 2015. Bradley Scott was previously licensed with Southwest Securities, Inc. FINRA reports that an arbitration claim was filed alleging unauthorized discretion and trading, unsuitable investments, poor performance and misrepresentation. FINRA reports …
Steven Collins, Financial Advisor Licensed with Independent Financial Group, LLC | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Steven Collins, Financial Advisor Licensed with Independent Financial Group, LLC Steven Collins has been licensed with Independent Financial Group, LLC since 2009. FINRA reports that an arbitration claim was filed involving Steven Collins’ conduct with Independent Financial Group, LLC, alleging breach of fiduciary duty, breach of contract, unauthorized trading, breach of FINRA …
Charles Doraine – Arbitration Claims Filed Involving Financial Advisor Charles Doraine
Goodman & Nekvasil, P.A. May Recover Investor Losses on Puerto Rico Bonds | Charles Doraine – Arbitration Claims Filed Involving Financial Advisor Charles Doraine Charles Doraine CRD #70411 Charles Doraine has been licensed with Next Financial Group, Inc. since 2007. The State of Ohio Division of Securities reports that two arbitration claims have been filed involving Charles Doraine’s conduct with Next …
John Cucinella Financial Advisor Barred and Fined by State of Missouri | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | John Cucinella Financial Advisor Barred and Fined by State of Missouri John Cucinella is a formerly licensed financial advisor with Southeast Investments, N.C., Inc. The State of Missouri alleges that from approximately November 2016 to March 2018, John Cucinella, through his businesses Zanisle Holdings Corp. d/b/a Mackrow Asset Management Group and Hangzell …