Goodman and Nekvasil May Recover Investor Losses | Kenneth James Daley (Kenneth Daley) Barred by FINRA  Kenneth Daley was licensed with Merrill Lynch from 2007 to 2016. FINRA reports that Kenneth Daley, was barred from the securities industry on June 27, 2016.   FINRA reports that Kenneth Daley consented to the sanctions and entry of findings that he concealed his improper …

Goodman and Nekvasil May Recover Investors Losses | Elliot Harris, Financial Advisor Barred from Securities Industry  Elliot Harris was previously licensed with Ladenburg Thalmann & Co. Inc. and Triad Advisors, Inc. FINRA reports that Elliot Harris, was barred from the securities industry on June 14, 2016.  FINRA reports that Elliot Harris consented to the sanctions and entry of findings that Elliot …

Goodman and Nekvasil May Recover Investors Losses | James Dozier Whelan (James Whelan), Financial Advisor Suspended by FINRA James Whelan was licensed with Capitol Securities Management, Inc. from 1998 to 2016. Reported by FINRA on October 19, 2015, James Whelan, was suspended from association with any FINRA member in any capacity for sixty days and fined $5,000.   FINRA reports James …

Goodman & Nekvasil, P.A. May Recover Investor Losses | Egalet Corporation Files for Bankruptcy  Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victmized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments, including Egalet Corporation. Pennsylvania-based publicly-traded specialty pharma company, Egalet Corporation filed for chapter 11 bankruptcy …

Goodman & Nekvasil P.A., May Recover Investor Losses | Donald Logan, Financial Advisor Investigated by FINRA  Donald Logan was a licensed financial advisor with Edward Jones from 2008 to 2015 and Waddell & Reed, Inc. from 2015 to 2018. FINRA reports that on July 20, 2018, FINRA made a preliminary determination to recommend that disciplinary action be brought against Donald Logan, …

Goodman and Nekvasil May Recover Investors Losses | Gopi Vungarala, Financial Advisor Gopi Vungarala Barred by FINRA Pending Appeal Gopi Vungarala CRD #4856193 Gopi Vungarala was licensed with Purshe Kaplan Sterling Investments from 2007 to 2017. FINRA reports that Gopi Vungarala was barred from association with any FINRA member in any capacity on 10/2/2018 pending an appeal. According to FINRA, …

Goodman and Nekvasil May Recover Investors Losses | Aldo Nestor Marchena (Aldo Marchena), Financial Advisor Suspended by FINRA  Aldo Marchena was licensed with Northeast Securities, Inc. from 2010 to 2014. Aldo Marchena was suspended from association with any FINRA member in any capacity for five months and fined $5,000. According to FINRA, without admitting or denying the findings, Aldo Marchena consented …

Goodman and Nekvasil May Recover Investors Losses | Robert Jay Myers (Rob Myers), Financial Advisor Suspended by FINRA  Rob Myers was licensed with MML Investors Services, LLC from 2009 to 2015. FINRA reports that Rob Myers, was suspended from association with any FINRA member in any capacity for one year and fined $20,000.  FINRA reports Rob Myers consented to the sanctions …

Goodman and Nekvasil May Recover Investor Losse | James Parker Scullin (James Scullin), Financial Advisor Suspended by FINRA  James Scullin was licensed with UBS Financial Services, Inc. from 2011 to 2014. Reported by FINRA on May 24, 2016, James Scullin, was suspended from the securities industry and fined $15,000.   FINRA reports James Scullin consented to the sanctions and to the …

Goodman and Nekvasil May Recover Investor Losses | Lance Ziesemer, Financial Advisor Barred by FINRA  Lance Ziesemer was licensed with Feltl & Company from 2007 to 2016. FINRA reports that Lance Ziesemer was barred from the securities and investment banking industry in September 2016.  FINRA reports that Lance Ziesemer failed to respond to FINRA request information. FINRA reports that Lance Ziesemer …