Goodman & Nekvasil P.A., May Recover Investor Losses | Robert Delguercio, Financial Advisor Barred from Securities Industry Robert Delguercio was a formerly licensed financial advisor with Herbert J. Sims & Co. Inc. from 2012 to 2017. FINRA reports that Robert Delguercio was barred from the securities industry on Oct. 16, 2017. FINRA reports that an arbitration claim was filed involving Robert …
James Carrazza, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
James Carrazza, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses James Carrazza was a formerly licensed financial advisor with Olympus Securities, LLC from 2002 to 2017. FINRA reports that James Carrazza was barred from the securities industry on March 17, 2017. Olympus Securities, LLC reported to FINRA that James Carrazza consented to the …
Richard Cody, Formerly Licensed Financial Advisor Pleads Guilty to Investment Advisor Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses
Goodman & Nekvasil P.A. May Recover Investor Losses | Richard Cody, Formerly Licensed Financial Advisor Pleads Guilty to Investment Advisor Fraud Richard Cody Pleads Guilty to Investment Advisor Fraud According to the SEC Richard Cody, an investment adviser and broker representative, defrauded at least three of his clients for years by concealing the fact that their retirement accounts had suffered extensive …
Christopher Hibbard – Financial Advisor/Broker Barred from Securities Industry | Recover Investment Losses
Christopher Hibbard – Financial Advisor/Broker Barred from Securities Industry | Recover Investment Losses Christopher Hibbard a/k/a Christopher Lee Hibbard CRD #3176484 Christopher Hibbard a/k/a Chistopher Lee Hibbard is a previously licensed financial advisor with Merrill Lynch from 2010 to 2018. According to Christopher Hibbard’s BrokerCheck report, Christopher Hibbard was barred from the securities industry by the SEC in April 2021. …
Charles Kenahan, Customer Disputes Filed Involving Financial Advisor Charles Kenahan
Charles Kenahan, Customer Disputes Filed Involving Financial Advisor Charles Kenahan | Goodman & Nekvasil, P.A. May Recover Investor Losses Charles Kenahan CRD #1351974 Charles Kenahan was licensed with Merrill Lynch from 2007 to 2019. According to Charles Kenahan’s CRD, Charles Kenahan was discharged from Merrill Lynch in July 2019. According to Charles Kenahan’s CRD, customer’s alleged unauthorized trading, unsuitable investment recommendations …
Andrew Elsoffer, Financial Advisor Discharged from Stifel, Nicolaus & Company, Incorporated | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Andrew Elsoffer, Financial Advisor Discharged from Stifel, Nicolaus & Company, Incorporated Andrew Elsoffer was a formerly licensed financial advisor with Stifel, Nicolaus & Company, Incorporated. FINRA reports that Andrew Elshoffer was discharged from Stifel, Nicolaus & Company, Incorporated on October 16, 2018. Stifel, Nicolaus & Company, Incorporated reported to FINRA of alleged …
Scott William Palmer, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Scott William Palmer, Financial Advisor Barred from Securities Industry Scott Palmer was a formerly licensed financial advisor with Janney Montgomery Scott LLC from 2007 to 2017. FINRA reports that Scott Palmer was permitted to resign from Janney Montgomery Scott LLC on May 24, 2017. Janney Montgomery Scott, LLC reported to FINRA “loss …
Brian Gimelson, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Brian Gimelson, Financial Advisor Barred from Securities Industry Brian Gimelson was a formerly licensed financial advisor with North Nassau Advisors. FINRA reports that Brian Gimelson was barred from the securities and investment banking industry on November 21, 2017. FINRA reports that Brian Gimelson consented to the sanction and to the entry of …
Ciro Santoro Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Ciro Santoro Barred from Securities Industry From 2010 until Ciro Santoro’s discharge in 2017, Ciro Santoro worked for Allstate Financial Services, LLC. According to FINRA’s records, Ciro Santoro was fired by Allstate Financial Services, LLC on June 8, 2017. Allstate Financial Services, LLC reported to FINRA that Ciro Santoro was terminated after …
Nenita Causing (Nitz Causing) Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Nenita Causing (Nitz Causing) Financial Advisor Barred from Securities Industry Nitz Causing was a formerly licensed financial advisor with Transamerica Financial Advisors, Inc from 2012 to 2016. FINRA reports that Nitz Causing was barred from the securities industry on June 19, 2017. FINRA reports that Nitz Causing failed to respond to FINRA …