Matthew Aaron Bell (Matt Bell), Financial Advisor Charged by the SEC | Goodman & Nekvasil P.A., May Recover Investor Losses From August 2013 until Matt Bell’s termination in October 2013, Matt Bell was licensed with Securities America, Inc. Matt Bell was previously licensed with WFG Investments, Inc. According to FINRA’s records, Matt Bell was discharged from Securities America, Inc. on …
Brian Eugene Sturges (Brian Sturges), Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Brian Eugene Sturges (Brian Sturges), Financial Advisor Suspended from Securities Industry From 2012 until Brian Sturges’ resignation in 2016, Brian Sturges was licensed with P.J. Robb Variable Corporation. According to FINRA’s records, Brian Sturges permitted to resign from P.J. Robb Variable Corporation on August 22, 2016. P.J. Robb Variable Corp. reported to …
John Newsome – Financial Advisor John Newsome Discharged from IFS Securities
Goodman & Nekvasil P.A., May Recover Investor Losses | John Newsome – Financial Advisor John Newsome Discharged from IFS Securities John Newsome CRD #1179783 From February 2017 until John Newsome’s firing in October 2017, John Newsome was licensed with IFS Securities. According to FINRA’s records, John Newsome was fired by IFS Securities on October 3, 2017. IFS Securities reported to FINRA …
Shadi Barakat (Sean Barakat), Arbitration Claim Filed Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Shadi Barakat (Sean Barakat), Arbitration Claim Filed Against Financial Advisor Sean Barakat was licensed with Aegis Capital Corp. from 2010 to 2017. Sean Barakat is now licensed with Spartan Capital Securities, LLC. FINRA reports that an arbitration claim was filed involving Sean Barakat’s conduct with Aegis Capital Corp., alleging churning and unsuitable …
Achilleas Psihudakis Discharged from Merrill Lynch | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Achilleas Psihudakis Discharged from Merrill Lynch From 2010 until Achilleas Psihudakis’ firing in 2015, Achilleas Psihudakis worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Achilleas Psihudakis now works for Wunderlich Securities, Inc. According to FINRA’s records, Achilleas Psihudakis was fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated on April 16, …
Paul Anthony Steffany (Paul Steffany), Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Paul Anthony Steffany (Paul Steffany), Financial Advisor Barred from Securities Industry From 2007 until Paul Steffany’s discharge in 2014, Paul Steffany was licensed with Raymond James & Associates, Inc. Paul Steffany was subsequently licensed with Moors & Cabot, Inc. According to FINRA’s records, Paul Steffany was discharged from Raymond James & Associates, …
Amanda Yvette Burnett (Amanda Burnett) a/k/a Amanda Yvette Hill Fired by Invest Financial Corporation and Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Amanda Yvette Burnett (Amanda Burnett) a/k/a Amanda Yvette Hill Fired by Invest Financial Corporation and Barred from Securities Industry Amanda Burnett CRD #1622687 From 1987 until Amanda Burnett’s discharge in 2016, Amanda Burnett was licensed with Invest Financial Corporation. According to FINRA’s records, Amanda Burnett was discharged from Invest Financial Corporation on …
Santa Fe Gold, SEC Charges Former CEO | Goodman & Nekvasil P.A. May Recover Investor Losses
Goodman & Nekvasil P.A. May Recover Investor Losses | Santa Fe Gold, SEC Charges Former CEO Santa Fe Gold Former CEO Charged with Misappropriating Investor Funds Santa Fe Gold, a small mining company based in Albuquerque, New Mexico, is a public company quoted on OTC Link operated by OTC Markets Group. According to the SEC, after emerging from bankruptcy in June 2016 …
Thomas Laws, Formerly Licensed Financial Advisor with HD Vest Investment Services Charged with Misappropriating Investor Funds | Goodman & Nekvasil P.A. May Recover Investor Losses
Goodman & Nekvasil P.A. May Recover Investor Losses | Thomas Laws, Formerly Licensed Financial Advisor with HD Vest Investment Services Charged with Misappropriating Investor Funds Thomas Laws Charged with Misappropriating Investor Funds The Securities and Exchange Commission announced charges against Thomas H. Laws, the former CEO of Santa Fe Gold Corporation, for the misappropriation of at least $1.1 million of investor funds by …
Todd Seeholzer, Financial Advisor Discharged from Allegis Investment Services | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Todd Seeholzer, Financial Advisor Discharged from Allegis Investment Services From 2014 until Todd Seeholzer’s discharge in 2017, Todd Seeholzer was licensed with Allegis Investment Services, LLC. Todd Seeholzer was previously licensed with Signator Financial Services, Inc. According to FINRA’s records, Todd Seeholzer was discharged from Allegis Investment Services, LLC on December 13, …