Goodman & Nekvasil P.A, May Recover Investor Losses – Michael William Hajek III (Michael Hajek) Formerly Licensed with Cetera Financial Specialists LLC, Suspended from Securities Industry From 2003 until 2013, Michael Hajek was licensed with Cetera Financial Specialists LLC Michael Hajek was then licensed with NFP Securities, Inc. FINRA brought a disciplinary action against Michael Hajek in 2016. Michael Hajek consented …

Goodman & Nekvasil P.A. May Recover Investor Losses on Promissory Notes – Blackridge Technologies James Nixon, a licensed financial advisor, was fired by Bridge Capital Associate, Inc. after being accused of selling $700,000 in Blackridge Technologies, a Reg. D private placement, away from his employing brokerage dealer in violation of FINRA Rule 3040. FINRA suspended Jeffrey Nixon for his involvement in …

Goodman & Nekvasil P.A, May Recover Investor Losses – Jaime Andres Diaz (Jaime Diaz) Formerly Licensed with National Securities Corporation, Barred from Securities Industry From 2007 until 2011, Jaime Diaz was licensed with National Securities Corporation.  FINRA brought a disciplinary action against Jaime Diaz in 2013. Jaime Diaz was barred from the securities industry and ordered to pay $600,000 in restitution. …

Goodman & Nekvasil P.A. May Recover Investor Losses – Nuela Restaurant, Marca Restaurant and Nordica Development Nuela Restaurant, Marca Restaurant and Nordica Development were investments involved in a deceptive, fraudulent scheme perpetrated by Jaime Diaz. Jaime Diaz solicited four customers and a co-worker to invest in these separate business ventures. If you invested in Nuela Restaurant, Marca Restaurant or Nordica Development, …

Goodman & Nekvasil P.A. May Recover Investor Losses – Tricep Trading LLC Tricep Trading LLC is a limited liability company formed by Jeffrey Griffin as a vehicle for soliciting potential investors to give Jeffrey Griffin money to use day trading exchange traded funds. If you invested in Tricep Trading LLC through Jeffrey Griffin we may be able to help you. FINRA …

Goodman & Nekvasil P.A, May Recover Investor Losses – James Rose (James Rose) Suspended from Securities Industry and Fired by UBS Financial Services Inc. From 2005 until James Rose’s firing in 2015, James Rose was licensed with UBS Financial Services Inc. According to FINRA’s records, James Rose was fired by UBS Financial Services Inc. on March 4, 2015. UBS Financial Services …

Goodman & Nekvasil P.A, May Recover Investor Losses | Barry Hartman – Financial Advisor Barry Hartman Barred from Securities Industry  Barry Hartman CRD #1361232 From 2002 until 2015, Barry Hartman was formerly licensed with FSC Securities Corporation. According to FINRA’s records, Barry Hartman was fired by FSC Securities Corporation on March 5, 2015. FSC Securities Corporation reported to FINRA that …

Goodman & Nekvasil P.A, May Recover Investor Losses – David Albert Ross (David Ross) Suspended from Securities Industry and Fired by Woodbury Financial Services, Inc. From 2010 until David Ross’ firing in 2016, David Ross was licensed with Woodbury Financial Services, Inc. According to FINRA’s records, David Ross was fired by Woodbury Financial Services, Inc. on April 15, 2016. Woodbury Financial …

Goodman & Nekvasil P.A, May Recover Investor Losses – Jeffrey Lee Anderson (Sparky Anderson) Barred from Securities Industry and Fired by FSC Securities Corporation From 2010 until 2015, Sparky Anderson was licensed with FSC Securities Corporation.  According to FINRA’s records, Sparky Anderson was fired by FSC Securities Corporation on January 24, 2013. FSC Securities Corporation reported to FINRA that Sparky Anderson …

Goodman & Nekvasil P.A, May Recover Investor Losses – Steven Eugene Bonner (Steven Bonner) Barred from Securities Industry and Fired by Principal Securities, Inc. From 2010 until Steven Bonner’s firing in 2017, Steven Bonner was licensed with Principal Securities, Inc. According to FINRA’s records, Steven Bonner was fired by Principal Securities, Inc. on February 8, 2017. Principal Securities, Inc. reported to …