Charla Kabana – Financial Advisor Charla Kabana Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Charla Kabana a/k/a Cynthia Kabana CRD #1453982 Charla Kabana was a licensed financial advisor with LPL Financial LLC from 2007 to 2016 and Sagepoint Financial, Inc. from 2016 to 2018. FINRA reports that Charla Kabana was discharged from LPL Financial …
Corporate Mystic LLC, Commercial Exchange Solutions, Inc., Exchange Solutions Company and Susan Werth – Goodman & Nekvasil P.A. May Recover Investor Losses
Corporate Mystic LLC, Commercial Exchange Solutions, Inc., Exchange Solutions Company and Susan Werth – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Corporate Mystic LLC, Commercial Exchange Solutions, Inc., Exchange Solutions Company and Susan Werth According to the SEC, the Securities and Exchange Commission filed an emergency action to halt an ongoing offering fraud perpetrated …
Christopher Duke Bennett – Chris Bennett – Financial Advisor Licensed with J.J.B. Hilliard, W.L. Lyons, LLC – Goodman & Nekvasil P.A., May Recover Investor Losses on Breitburn Energy and/or Other Investments
Christopher Duke Bennett – Chris Bennett – Financial Advisor Licensed with J.J.B. Hilliard, W.L. Lyons, LLC – Goodman & Nekvasil P.A., May Recover Investor Losses on Breitburn Energy and/or Other Investments Chris Bennett has been licensed with J.J.B. Hilliard, W.L. Lyons, LLC since 1995. FINRA reports that 4 arbitration claims have been filed involving Chris Bennett’s conduct while licensed with J.J.B. …
Alex Herrera, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Alex Herrera, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Alex Herrera, Alex Gerardo Herrera CRD #2747601 Alex Herrera was licensed with UBS Financial Services, Inc. from 2012 to 2018. Alex Herrera was barred from the securities and investment banking industry on August 8, 2018. FINRA reports that Alex Herrera consented to the …
Goodman & Nekvasil, P.A., May Recover Investor Losses – Ironwood Institutional Multi-Strategy Fund LLC
Ironwood Institutional Multi-Strategy Fund LLC – Goodman & Nekvasil, P.A., May Recover Investor Losses Ironwood Institutional Multi-Strategy Fund LLC is a Delaware based LLC. According to Ironwood Institutional Multi-Strategy Fund LLC’s prospectus, the Fund’s investment objective is capital appreciation with limited variability of returns. According to Ironwood Institutional Multi-Strategy Fund LLC’s prospectus, investment in the Fund involves a high degree of …
Shakela Carter Barred from Securities Industry and Resigned from Merrill Lynch – Goodman & Nekvasil P.A., May Recover Investor Losses
Shakela Carter Barred from Securities Industry and Resigned from Merrill Lynch – Goodman & Nekvasil P.A., May Recover Investor Losses Shakela Carter was licensed with Merrill Lynch from 2009 to 2016. FINRA reports that Shakela Carter resigned from Merrill Lynch on February 8, 2016. Merrill Lynch reported to FINRA that Shakela Carter allegedly participated in clients’ outside business activities. …
Danial Khan – Atiq Urrehman Khan, Barred from Securities Industry and Discharged from TransAmerica Financial Advisors, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Danial Khan – Atiq Urrehman Khan, Barred from Securities Industry and Discharged from TransAmerica Financial Advisors, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses Danial Khan was licensed with TransAmerica Financial Advisors, Inc. from 2012 to 2016. FINRA reports that Danial Khan was discharged from TransAmerica Financial Advisors, Inc. on December 13, 2016. TransAmerica Financial Advisors, Inc. reported …
Suhail Khan – Financial Advisor Suhail Khan Barred from Securities Industry
Suhail Khan – Financial Advisor Suhail Khan Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Suhail Khan CRD #3168241 Suhail Khan was licensed with LPL Financial LLC from 2013 to 2017. Suhail Khan was barred from the securities and investment banking industry on November 13, 2017. FINRA reports that Suhail Khan failed to respond to …
Todd Phillips – David Todd Phillips, Formerly Licensed with ProEquities, Inc.
Goodman & Nekvasil P.A. Files Arbitration Claim on Future Income Payments | Todd Phillips – David Todd Phillips, Formerly Licensed with ProEquities, Inc. Todd Phillips was licensed with ProEquities, Inc. from 2007 until 2017. Todd Phillips is now licensed with Moloney Securities Co., Inc. Goodman & Nekvasil, P.A. has learned that Todd Phillips sold the fraudulent Future Income Payments and has …
Michael Gilhooly – Michael James Gilhooly, Formerly Licensed with RJJ Pasadena Securities, Inc. Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Michael Gilhooly – Michael James Gilhooly, Formerly Licensed with RJJ Pasadena Securities, Inc. Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses Michael Gilhooly was licensed with RJJ Pasadena Securities, Inc. from 2001 to 2017. Michael Gilhooly was barred from the securities and investment banking industry on July 16, 2018. FINRA reports that Michael Gilhooly consented …