Scott Martin Scherer (Scott Scherer) Financial Advisor/Broker Scott Scherer Discharged by Preferred Capital Securities, LLC | Goodman & Nekvasil P.A., May Recover Investor Losses  From 2016 until Scott Scherer’s firing in 2017, Scott Scherer was licensed with Preferred Capital Securities, LLC. Scott Scherer was previously licensed with Newbridge Securities Corporation. Scott Scherer is now licensed withTCFG Wealth Management, LLC. According to …

Goodman & Nekvasil P.A., May Recover Investor Losses – Mitesh Shere (Mitesh Shere) Barred from Securities Industry  Mitesh Shere was licensed with Newbridge Securities Corporation from 2009 until 2012. FINRA reports that seven arbitration claims or complaints have been filed alleging sales practice violations against Mitesh Shere. All seven claims/complaints settled, with the largest settling for $288,000. FINRA brought a disciplinary …

Michael McTigue – Financial Advisor Michael McTigue Resigned from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses  Michael McTigue CRD #3031287 From 2016 until Michael McTigue’s resignation in 2017, Michael McTigue was licensed with ProEquities, Inc. Between 2010 and 2017 Michael McTigue was also licensed with Lincoln Investment and Investacorp, Inc. According to FINRA’s records, Michael McTigue resigned from ProEquities, …

Goodman & Nekvasil P.A, May Recover Investor Losses – Daeil Dave Ro (Daeil Ro) Suspended by the State of Washington and Fired by Ameriprise Financial Services, Inc. From 2012 until Daeil Ro’s firing in 2016, Daeil Ro was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Daeil Ro was fired by Ameriprise Financial Services, Inc. on June 6, 2016. …

Michael Ott – Financial Advisor Michael Ott Resigned from Firm | Goodman & Nekvasil P.A, May Recover Investor Losses  Michael Ott CRD #5131748 From 2006 until Michael Ott’s resignation in 2016, Michael Ott was licensed with AXA Advisors, LLC. According to FINRA’s records, Michael Ott resigned from AXA Advisors, LLC on February 1, 2016. AXA Advisors, LLC reported to FINRA that …

Goodman & Nekvasil P.A, May Recover Investor Losses – Thomas Joseph Breslin, Jr. (Thomas Breslin) Suspended from Securities Industry and Fired by LPL Financial LLC From 2005 until Thomas Breslin’s firing in 2016, Thomas Breslin was licensed with LPL Financial LLC. According to FINRA’s records, Thomas Breslin was fired by LPL Financial LLC on March 23, 2016. LPL Financial LLC reported to …

Goodman & Nekvasil P.A, May Recover Investor Losses – Alfred Kai Kwong Chan (Alfred Chan) Suspended from Securities Industry and Fired by Signator Investors, Inc. From 2010 until Alfred Chan’s firing in 2013, Alfred Chan was licensed with Signator Investors, Inc. After that, Alfred Chan was licensed with NI Advisors. According to FINRA’s records, Alfred Chan was fired by Signator Investors, …

Curtis Lyman – Arbitration Claims Filed Involving Financial Advisor Curtis Lyman | Goodman & Nekvasil PA May Recover Investor Losses Curtis Lyman CRD #1407264 From 2009 until 2015, Curtis Lyman was licensed with HighTower Securities, LLC. FINRA reports that five lawsuits/arbitration claims alleging sales practice violations against Curtis Lyman were settled, with the largest settlements being $750,000, $337,500 and $300,00. …

Goodman & Nekvasil P.A, May Recover Investor Losses – Derek Neal York (Derek York) Barred from the Securities Industry  From March 2012 until October 2012, Derek York was licensed with LPL Financial LLC. Derek York was previously licensed with MetLife Securities Inc. FINRA brought a disciplinary action against Derek York in 2014. Derek York consented to a bar from the securities …

Goodman & Nekvasil P.A, May Recover Investor Losses – Dennis Allen Hayes (Dennis Hayes) Permitted to Resign from Newbridge Securities Corporation From 2010 until Dennis Hayes’ resignation in 2016, Dennis Hayes was licensed with Newbridge Securities Corporation. According to FINRA’s records, Dennis Hayes was permitted to resign by Newbridge Securities Corporation on September 8, 2016. Newbridge Securities Corporation reported to FINRA that …