Brian Lewis Pittman (Brian Pittman), Financial Advisor Suspended by FINRA | Goodman and Nekvasil May Recover Investors Losses Reported by FINRA on February 2, 2016, Brian Pittman was suspended from association with any FINRA member in any capacity for six months. FINRA reports that Brian Pittman consented to the sanctions and to the entry of findings that he participated in …

Goodman and Nekvasil May Recover Investors Losses | Kristopher B. Smith (Kristopher Smith), Financial Advisor Suspended by FINRA  Reported by FINRA on February 29, 2016, Kristopher Smith was suspended from association with any FINRA member in any capacity for 10 business days. Smith entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority (FINRA) Department of …

Julius Kenney – Financial Advisor/Broker Julius Kenney Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Julius Kenney CRD #5500248 According to FINRA on June 12, 2015, Julius Kenney, was barred after allegations that he refused to cooperate or provide requested information to FINRA. The findings stated that FINRA began an investigation into whether Julius Kenney was …

Goodman and Nekvasil May Recover Investors Losses | Michael Peter Trepedino (Michael Trepedino), Financial Advisor Barred by FINRA  According to FINRA on June 16, 2015, Michael Trepedino, was barred after allegations that he refused to cooperate or provide requested information to FINRA. The findings stated that FINRA began an investigation into whether Trepedino was involved in an unreported outside business activity …

Goodman and Nekvasil May Recover Investors Losses | Matthew Edward O’Callaghan (Matthew O’Callaghan), Former Odeon Capital Group Broker, Barred by FINRA  Reported by FINRA on February 25, 2016, Matthew O’Callaghan was barred from association with any FINRA member in any capacity. Matthew O’Callaghan entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority (FINRA) Department of …

Goodman & Nekvasil P.A, May Recover Investor Losses | Barry Armstrong, Pending Regulatory Action by Massachusetts Against Financial Advisor  Barry Armstrong CRD #1305112 Since 2007, Barry Armstrong has been licensed with Securities America, Inc. FINRA reports a pending regulatory action from the Commonwealth of Massachusetts Securities Division alleging that Barry Armstrong engaged in a dishonest and misleading radio advertising campaign in …

Goodman & Nekvasil P.A, May Recover Investor Losses | Joseph Leigh Cotter (Joseph Cotter) Financial Advisor Suspended from Securities Industry From 2007 until Joseph Cotter’s discharge in 2016, Joseph Cotter was licensed with NEXT Financial Group, Inc. According to FINRA’s records, Joseph Cotter was discharged from NEXT Financial Group, Inc. on March 18, 2016. NEXT Financial Group, Inc. reported to FINRA …

Goodman & Nekvasil P.A, May Recover Investor Losses | Demitrios Hallas, Barred from Securities Industry  Demitrios Hallas has been licensed with PHX financial, Inc., Forefront Capital Markets LLC, Santander Securities LLC and Aegis Capital Corp. FINRA brought a disciplinary action against Demitrios Hallas in 2016. Demitrios Hallas was barred from the securities industry. FINRA reports that Demitrios Hallas failed to appear …

Goodman & Nekvasil P.A, May Recover Investor Losses | David Albert Tufts, Jr. (David Tufts), Financial Advisor Barred from Securities Industry From 2003 until 2015, David Tufts was licensed with Oppenheimer & Co. Inc. FINRA brought a disciplinary action against David Tufts in 2017. David Tufts consented to a bar from the securities industry. David Tufts consented to the entry of …