Barbara Endres, Formerly Licensed with Wells Fargo Advisors, LLC, Barred from Securities Industry by SEC – Goodman & Nekvasil P.A., May Recover Investor Losses Barbara Endres was licensed with Wells Fargo Advisors, LLC from 2009 to 2014. Barbara Endres was barred from the securities industry by the SEC on June 4, 2018.  According to the SEC order from approximately September …

Higher Ground Financial Group, Managed by Imran Razvi – Goodman & Nekvasil P.A. Files Arbitration Claims on Woodbridge Mortgage Investment Fund Imran Razvi is the managing partner and President of Higher Ground Financial Group. Higher Ground Financial Group is located in Frederick, MD and purports to be a full-service financial firm committed to helping people pursue their financial goals, offering …

Goodman & Nekvasil P.A., May Recover Investor Losses | Gregory Joseph Rusnak (Gregory Rusnak), Financial Advisor Suspended from Securities Industry  Gregory Rusnak was licensed with Sigma Financial Corporation from 2011 to 2017. FINRA reports that Gregory Rusnak was suspended from the securities industry on November 14, 2018. FINRA alleges that between March 2014 and May 2017, Gregory Rusnak excercised discretion in …

Cory Ryan Williams, Formerly Licensed with Taylor Capital Management Inc., Barred from Securities Industry by SEC – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Bars Cory Ryan Williams, Formerly Licensed with Taylor Capital Management, Inc. The SEC found that from 2011 through October 30, 2015, Cory Ryan Williams was a registered representative with Taylor Capital …

Taek Chong –  Financial Advisor Taek Chong Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Taek Chong CRD #1551473 Taek Chong was a licensed financial advisor with Raymond James Financial Services, Inc. from 2000 to 2018. Taek Chong was barred from the securities and investment banking industry on June 28, 2018. FINRA reports that Taek Chong …

Jason Chong – Jason Taek Chong – Formerly Licensed Financial Advisor with Raymond James Financial Services, Inc. Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses Jason Chong was a licensed financial advisor with Raymond James Financial Services, Inc. from 2012 to 2018. Jason Chong was barred from the securities and investment banking industry on June …

Abe Biderman – Abraham Biderman, Formerly Licensed Financial Advisor with Palladium Capital Advisors, LLC Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses Abe Biderman was a licensed financial advisor 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 …

Mitchell Yanow – Financial Advisor Mitchell Yanow Barred from Securities Industry  | Goodman & Nekvasil P.A., May Recover Investor Losses Mitchell Yanow CRD #2148171 Mitchell Yanow was licensed with Stifel, Nicolaus & Company, Incorporated from 2015 to 2018. Mitchell Yanow was previously licensed with Oppenheimer & Co. Inc. FINRA reports that Mitchell Yanow was discharged from Stifel, Nicolaus & Company, Incorporated on …

Roger Kroeger, Barred from Securities Industry and Discharged from INVEST Financial Corporation – Goodman & Nekvasil P.A., May Recover Investor Losses Roger Kroeger was a licensed financial advisor with INVEST Financial Corporation from 1990 to 2017. FINRA reports that Roger Kroeger was discharged from INVEST Financial Corporation on November 17, 2017. INVEST Financial Corporation reported to FINRA that Roger Kroeger …

Howard Utz – Financial Advisor Howard Utz Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Howard Utz Financial Advisor CRD #2672208 Howard Utz was licensed with Hazard & Siegel, Inc. from 2015 to 2018. Howard Utz was previously licensed with Securities America, Inc. and Sunset Financial Services, Inc. FINRA reports that Howard Utz was discharged …