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 …

Goodman & Nekvasil P.A, May Recover Investor Losses – Paul Joseph Godlewski (Paul Godlewski) Barred from Securities Industry and Fired by Allstate Financial Services, LLC From 2005 until Paul Godlewski’s firing in 2015, Paul Godlewski was licensed with Allstate Financial Services, LLC. According to FINRA’s records, Paul Godlewski was fired by Allstate Financial Services, LLC on January 9, 2015. Allstate Financial …

Kenneth Dysart – Financial Advisor Kenneth Dysart Suspended from Securities Industry | Goodman & Nekvasil P.A, May Recover Investor Losses  Kenneth Dysart CRD #2025271 From 2003 until Kenneth Dysart’s firing in 2015, Kenneth Dysart was licensed with Wells Fargo Advisors, LLC. Kenneth Dysart is now licensed with Prospera Financial Services, Inc. According to FINRA’s records, Kenneth Dysart was fired by Wells Fargo …

Goodman & Nekvasil P.A, May Recover Investor Losses – Daniel George Kasbar (Daniel Kasbar) Barred from Securities Industry and Fired by LPL Financial LLC  From 2014 until Daniel Kasbar’s firing in 2015, Daniel Kasbar was licensed with LPL Financial LLC. Daniel Kasbar was previously licensed with H.D. Vest Investments Services. According to FINRA’s records, Daniel Kasbar was fired by LPL Financial LLC …

Goodman & Nekvasil P.A, May Recover Investor Losses – John Hoyt Williams, Jr. (Hoyt Williams) Suspended by FINRA and Fired by LPL Financial LLC  From 1999 until Hoyt Williams’s firing in 2013, Hoyt Williams was licensed with LPL Financial LLC. Hoyt Williams was then licensed with Cambridge Investment Research, Inc. According to FINRA’s records, Hoyt Williams was fired by LPL Financial …