Abraham Biderman – Abe Biderman, Barred from Securities Industry, Formerly Licensed with Palladium Capital Advisors, LLC – Goodman & Nekvasil P.A., May Recover Investor Losses Abe Biderman was licensed with Palladium Capital Advisors, LLC from 2006 to 2018. Abe Biderman was barred from the securities and investment banking industry on July 2, 2018. FINRA reports that Abe Biderman consented to …

Tammie Steele – Tamara Rae Steele, SEC Files Action Against Financial Advisor​ | Goodman & Nekvasil, P.A. May Recover Investor Losses on Behavioral Recognition Systems, Inc. (BRS Labs) n/k/a Giant Gray, Inc. Tammie Steele, Tamara Rae Steele CRD #3227494 Tammie Steele was licensed with APW Capital, Inc. f/k/a Comprehensive Asset Management and Servicing, Inc. from 2009 until Tammie Steele’s firing …

Nathan Bartow – Financial Advisor Nathan Bartow Barred from Securities Industry​ – Goodman & Nekvasil P.A., May Recover Investor Losses Nathan Bartow CRD #4805130 Nathan Bartow was licensed with Fifth Third Securities from 2013 to 2016. Nathan Bartow was discharged from Fifth Third Securities on April 6, 2016. Fifth Third Securities, Inc. reported to FINRA that Fifth Third Securities terminated Nathan …

Mark Koestner – Financial Advisor Mark Koestner, Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Mark Koestner CRD #1302960 Mark Koestner was licensed with Wells Fargo Advisors, LLC from 2000 to 2014. Mark Koestner was barred from the securities and investment banking industry on April 18, 2016. FINRA reports that Mark Koestner consented to the …

BIC Real Estate Development Corporation, Daniel R. Nase and d/b/a Bakersfield Investment Club, Charged by the SEC – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges BIC Real Estate Development Corporation, Daniel R. Nase and d/b/a Bakersfield Investment Club The Securities and Exchange Commission announced fraud charges against a California businessman accused of stealing investor …

The Eliv Group, LLC and Scott Valente Charged by the SEC – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges The Eliv Group, LLC and Scott Valente The Securities and Exchange Commission today filed an emergency enforcement action to halt an ongoing fraud by an investment adviser based in Albany, N.Y., who is charged with …

Irving Place III SPV, LLC,  and W.W. Caspersen Charged by SEC – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Andrew W.W. Caspersen and Irving Place III SPV, LLC The Securities and Exchange Commission charged a New York-based securities professional with defrauding two institutions he solicited to invest in a shell company he controlled whose …

Dean Watson – Henry Al Dean Watson, Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses Dean Watson was licensed with J.J.B. Hilliard, W.L. Lyons, LLC from 2012 to 2016. Dean Watson was barred from the securities and investment banking industry on January 17, 2017. FINRA reports that Dean Watson consented to the sanction and to …

Interactive Media Solutions, LLC and John Anthony Giunti Charged by SEC – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Interactive Media Solutions, LLC and John Anthony Giunti On July 25, 2017, the Securities and Exchange Commission charged Interactive Media Solutions, LLC and its sole principal John Anthony Giunti with perpetuating a securities offering fraud. …

Green Tree Investment Group, Inc. and Jeffrey B. Mallett Charged by SEC – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Green Tree Investment Group, Inc. and Jeffrey B. Mallett On November 17, 2017, the Securities and Exchange Commission charged Jeffrey B. Mallett of Mason, Texas and his company, Green Tree Investment Group, Inc., for …