Goodman & Nekvasil P.A, May Recover Investor Losses | Kenneth Enlo Crosser (Ken Crosser), Financial Advisor Barred from Securities Industry From 2012 until 2013, Ken Crosser was licensed with Cambridge Investment Research, Inc. Ken Crosser was subsequently licensed with Girard Securities, Inc. FINRA brought a disciplinary action against Ken Crosser in 2015. Ken Crosser consented to a bar from the securities …

Goodman & Nekvasil P.A, May Recover Investor Losses | Rocco Roveccio, SEC Files Complaint Involving Financial Advisor From 2012 until 2014 Rocco Roveccio was licensed with Alexander Capital, L.P. Rocco Roveccio is now licensed with First Standard Financial Company LLC. The SEC filed a complaint alleging sales practice violations against Rocco Roveccio in 2017. The claim alleges that Rocco Roveccio recommended …

Goodman & Nekvasil P.A., May Recover Investor Losses | William Christian Gennity (Billy Gennity), SEC Files Complaint Involving Financial Advisor From 2012 until 2014 Billy Gennity was licensed with Alexander Capital, L.P.  FINRA reports that Billy Gennity was subsequently licensed with First Standard Financial Company LLC. The SEC filed a complaint alleging sales practice violations against Billy Gennity in 2017. The …

Goodman & Nekvasil P.A, May Recover Investor Losses | Joseph Alan Lavigne (Joe Lavigne), Financial Advisor Suspended from Securities Industry From 2013 to 2018, Joe Lavigne was licensed with Spencer Edwards, Inc. Joe Lavigne was previously licensed with GVC Capital LLC. FINRA brought a disciplinary action against Joe Lavigne in 2017. Joe Lavigne consented to a 30-day suspension, a $14,500 monetary …

Goodman & Nekvasil P.A, May Recover Investor Losses | Genevieve Mar – Arbitration Claim Filed Involving Financial Advisor Genevieve Mar Genevieve Mar aka Gen Mar CRD #2744037 Since 2010, Gen Mar has been licensed with Berthel, Fisher & Company Financial Services, Inc. FINRA reports three arbitration claims/complaint were filed alleging sales practice violations against Gen Mar. FINRA reports that the claims …

Goodman & Nekvasil P.A, May Recover Investor Losses | John Allen Brown (John Brown), Financial Advisor Barred from Securities Industry  From 2010 until John Brown’s discharge in 2015, John Brown worked for LPL Financial LLC. According to FINRA records, John Brown was discharged on May 21, 2015. LPL Financial LLC reported to FINRA that John Brown was fired for borrowing money …

Goodman & Nekvasil P.A, May Recover Investor Losses | Rennie M Roach (Rennie Roach), Financial Advisor Barred from Securities Industry From 2004 until Rennie Roach’s resignation in 2015, Rennie Roach was licensed with PFS Investments, Inc. According to FINRA records, Rennie Roach resigned from PFS Investments, Inc. on December 10, 2015. PFS Investments Inc. reported to FINRA that Rennie Roach was …

Goodman & Nekvasil P.A, May Recover Investor Losses | Gregory Allen Zale (Gregory Zale), Financial Advisor Barred from Securities Industry From 1999 until Gregory Zale’s discharge in 2016, Gregory Zale was licensed with LPL Financial LLC. According to FINRA records, Gregory Zale was fired on May 3, 2016. LPL Financial LLC reported to FINRA that Gregory Zale was fired after Gregory …

Goodman & Nekvasil P.A, May Recover Investor Losses | Michael Taylor Shuttlesworth (Michael Shuttlesworth), Financial Advisor Barred from Securities Industry  From 2010 until Michael Shuttlesworth’s resignation in 2015, Michael Shuttlesworth was licensed with Crown Capital Securities, L.P. According to FINRA records, Michael Shuttlesworth resigned from Crown Capital Securities, L.P. on December 19, 2015. Crown Capital Securities, L.P. reported to FINRA that Michael Shuttlesworth …

Goodman & Nekvasil P.A, May Recover Investor Losses | Damian Serret, Financial Advisor Damian Serret Barred from Securities Industry Damian Serret CRD #6016488 From 2012 until Damian Serret’s firing in 2017, Damian Serret worked for PFS Investments Inc. According to FINRA records, Damian Serret was fired on October 18, 2017. PFS Investments Inc. reported to FINRA that Damian Serret was fired …