Goodman & Nekvasil P.A., May Recover Investor Losses | George Merhoff – Arbitration Claim Filed Involving Financial Advisor George Merhoff George Merhoff Financial Advisor CRD #2918171 Since 2012, George Merhoff worked for Cetera Advisors LLC. FINRA reports that the Oregon Department Consumer and Business Services, Division of Financial Regulation (“DFR”) brought an enforcement action against George Merhoff in 2017. George Merhoff …

Robert DelGuercio of Herbert J. Sims & Co. Inc., Barred from Securities Industry | Goodman & Nekvasil P.A, May Recover Investor Losses  From 2012 until 2017, Robert Del Guercio was licensed with Herbert J. Sims & Co. Inc. FINRA brought a disciplinary action against Robert Del Guercio in 2017. Robert Del Guercio consented to a bar from the securities industry. …

Goodman & Nekvasil P.A, May Recover Investor Losses | Paul LaScelle, Financial Advisor Suspended from Securities Industry  Paul LaScelle was licensed with Morgan Stanley from 2011 to 2017. FINRA reports that Paul LaScelle was discharged from Morgan Stanley under allegations regarding Paul LaScelle’s allocation of revenue generated by certain securities trades into Paul LaScelle’s own production number rather than joint production …

Goodman & Nekvasil P.A, May Recover Investor Losses | Mark Sherman Perry (Mark Perry), Financial Advisor Suspended from Securities Industry  From 2003 until Mark Perry’s resignation in 2015, Mark Perry was licensed with Royal Alliance Associates, Inc. According to FINRA’s records, Mark Perry resigned from Alliance Associates, Inc. on March 20, 2015. Royal Alliance Associates, Inc. reported to FINRA that Mark …

Goodman & Nekvasil P.A, May Recover Investor Losses | Christopher McClure, Financial Advisor Named in SEC Complaint  Since 2001 Christopher McClure has been licensed with Westport Capital Markets, LLC. FINRA reports that The United States Securities and Exchange Commission (SEC) has a pending civil court action against Christopher McClure in 2017. The action alleges that Christopher McClure and Westport Capital Markets, …

Zachary Berkey, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses  From 2013 until 2015, Zachary Berkey was licensed with Four Points Capital Partners LLC. Zachary Berkey has also been licensed with National Securities Corporation. FINRA reports that the United States Securities and Exchange Commission (SEC) filed a civil injunctive action charging Zachary Berkey …

Goodman & Nekvasil P.A, May Recover Investor Losses | Timothy Gibbons, Financial Advisor Suspended from Securities Industry    From 2009 until 2015 Timothy Gibbons was licensed with Morgan Stanley. Subsequent to Timothy Gibbons’ firing, FINRA brought a disciplinary action against Timothy Gibbons in 2017. Timothy Gibbons consented to an 18-month suspension, a $20,000 monetary fine and a $716,749.78 restitution. Timothy Gibbons …

Lisa Lowi – Financial Advisor Lisa Lowi Barred from Securities Industry | Goodman & Nekvasil P.A, May Recover Investor Losses Lisa Lowi CRD #1347790 From 2015 until 2016, Lisa Lowi was licensed with Janney Montgomery Scott LLC. Lisa Lowi was previously licensed with RBC Capital Markets, LLC. FINRA brought a disciplinary action against Lisa Lowi in 2017. Lisa Lowi consented to …

Goodman & Nekvasil P.A, May Recover Investor Losses | Charles Alan Correal (Chuck Correal), Arbitration Claim Filed Involving Financial Advisor  From 2009 until 2016, Chuck Correal was licensed with Morgan Stanley. Chuck Correal is now licensed with Harvest Financial Corporation. FINRA reports that a claim was filed alleging sales practice violations against Chuck Correal. The claim alleged inter alia, that the …