Goodman & Nekvasil, P.A. May Recover Losses | Bradley Latting, Formerly Licensed Financial Advisor Bradley Latting Discharged from Firm Bradley Latting CRD #4850825  Brad Latting was licensed with State Farm VP Management Corp. from 2004 to 2018. The Oklahoma Department of Securities reports that Brad Latting was discharged by State Farm VP Management Corp. According to the Oklahoma Department of Securities, …

Goodman & Nekvasil, P.A. May Recover Investor Losses | Craig Sutherland, Licensed Financial Advisor with Money Concepts Capital Corp. Craig Alan Sutherland, CRD # 2001873 Craig Sutherland has been licensed with Money Concepts Capital Corp. since 1994. The State of Ohio Division of Securities reports that on or about February 20, 2018, a complaint was filed with FINRA by Ohio investors, …

Goodman & Nekvasil, P.A. May Recover Investor Losses | Jason Nye, Formerly Licensed Financial Advisor  Jason Nye was previously licensed with The O.N. Equity Sales Company. FINRA reports that an arbitration claim was filed involving Jason Nye’s conduct with The O.N. Equity Sales Company, alleging Jason Nye sold them grossly unsuitable investments without regard to personal circumstances. This arbitration claim is …

Goodman & Nekvasil P.A., May Recover Investor Losses on Component Sourcing Group, Inc. | Stevan Nenadov Financial Advisor Ordered to Cease and Desist by State of Ohio  Stevan Nenadov is a formerly licensed financial advisor with Cetera Advisors LLC. The State of Ohio Securities Division alleged that Stevan Nenadov violated R.C. 1707.44(C)(1) by selling or causing to be sold securities which …

Goodman & Nekvasil P.A., May Recover Investor Losses | Brian Patrick Kelly Financial Advisor Ordered to Cease and Desist by State of Ohio  Brian Kelly CRD # 3065740 Brian Kelly is a licensed financial advisor with LPL Financial LLC. in Ohio. The State of Ohio Securities Division found that Brian Patrick Kelly engaged in discretionary trading without authorization from the client, …

Michael Norman Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Norman was a formerly licensed financial advisor with NYLife Securities, LLC. FINRA reports that Michael Norman was barred from the securities industry on November 30, 2018. FINRA reports that Michael Norman consented to the sanction and to the entry of findings that …

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 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 …

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 …