Goodman & Nekvasil P.A, May Recover Investor Losses | John Schwan – Financial Advisor John Schwan Suspended from Securities Industry    John Schwan CRD #1421895 From 2005 until John Schwan’s firing in 2010, John Schwan was licensed with Cambridge Investment Research, Inc. John Schwan is now licensed with Kovack Securities Inc. According to FINRA’s records, John Schwan was fired by Cambridge …

Goodman & Nekvasil P.A. May Recover Investor Losses – Plymouth Rock Studios Plymouth Rock Studios is a project that proposed to build a movie studio in Plymouth, Massachusetts that purported to open in 2010. If you invested in Plymouth Rock Studios through Russell Sadler, a licensed financial advisor, we may help you. FINRA suspended Russell Sadler from the securities industry because …

Goodman & Nekvasil P.A. May Recover Investor Losses – Cardero Resource Corp. (CDU) Cardero Resource Corp. (CDU) is a Canadian Stock that was delisted from the New York Stock Exchange. If you purchased this stock from Craig Price, our firm can help you. From 2000 until his firing in 2016, Craig Price worked for UBS Financial Services, Inc. According to FINRA’s …

Goodman & Nekvasil P.A, May Recover Investor Losses – Ken Alan Balser (Ken Balser) Barred from the Securities Industry and Fired by Cetera Advisors LLC From 2013 until Ken Balser’s firing in 2016, Ken Balser was licensed with Cetera Advisors LLC. Ken Balser previously licensed with LPL Financial LLC. According to FINRA’s records, Ken Balser was fired by Cetera Advisors LLC on July 18, …

Goodman & Nekvasil P.A. May Recover Investor Losses – Tesoro Del Alma, Inc. (Gold Mine) Tesoro Del Alma, Inc. (Gold Mine) was formed by Nick V. Fleming based in Williamsburg, New Mexico. Tesoro Del Alma, Inc. (Gold Mine) solicited investors to invest in the company by claiming to be a “land-based treasure trove claim”. FINRA barred Ken Balser, a licensed financial …

Rob Regan – Financial Advisor Rob Regan Suspended from Securities Industry | Goodman & Nekvasil P.A, May Recover Investor Losses  Rob Regan CRD #2322096 From 2005 until 2016, Rob Regan was licensed with NFP Advisor Services, LLC. FINRA brought a disciplinary action against Rob Regan in 2016. Rob Regan consented to a 60-day suspension and a $5,000 monetary fine. FINRA reports that Rob …

Goodman & Nekvasil P.A, May Recover Investor Losses – Kevin Patrick Murphy (Kevin Murphy) Formerly Licensed with TGP Securities, Inc., Suspended from Securities Industry  From 2012 until 2014, Kevin Murphy was licensed with TGP Securities, Inc. FINRA brought a disciplinary action against Kevin Murphy. Kevin Murphy consented to a 12-month suspension and a $10,000 monetary fine. FINRA reports that Kevin Murphy consented …

Goodman & Nekvasil P.A, May Recover Investor Losses – James Jeffery Nixon (James Nixon) Suspended from Securities Industry and Fired by Bridge Capital Associates, Inc.  From 2007 until James Nixon’s firing in 2013, James Nixon was licensed with Bridge Capital Associates, Inc. James Nixon is now licensed with Terranova Capital Equities, Inc. According to FINRA’s records, James Nixon was discharged by …

Goodman & Nekvasil P.A, May Recover Investor Losses – Wayne Anthony Schultz (Wayne Schultz) Barred from Securities Industry  Wayne Shultz was licensed with Sterne Agee Financial Services, Inc. from January 2011 to June 2013. FINRA brought a disciplinary action against Wayne Schultz in 2016. Wayne Schultz consented to a bar from the securities industry. FINRA reports that Wayne Schultz consented to …

Goodman & Nekvasil P.A, May Recover Investor Losses – Anthony Gary Epps (Anthony Epps) Suspended from Securities Industry and Permitted to Resign from NYLIFE Securities LLC From 1987 to 2009, and from 2012 until Anthony Epps’s resignation in 2013, Anthony Epps was licensed with NYLIFE Securities LLC.  Anthony Epps was previously licensed with NYLIFE Distributors LLC. According to FINRA’s records, Anthony …