Goodman & Nekvasil P.A, Has Already Filed Two Arbitration Claims – Darrin Barton Farrow (Darrin Farrow) Suspended by FINRA and Permitted to Resign from Royal Alliance Associates, Inc. for Selling the MAD Oregon Investment Our Firm recently filed two arbitration claims against Royal Alliance Associates, Inc. with one on behalf of an investor who invested $100,000 in MAD Oregon, LLC. Based …
William Mark Heiden (Mark Heiden) Licensed with Wedbush Securities Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – William Mark Heiden (Mark Heiden) Licensed with Wedbush Securities Inc. Since 2013, Mark Heiden has been licensed with Wedbush Securities Inc. Mark Heiden was previously licensed with Morgan Stanley. FINRA reports that four complaints and/or arbitration claims were filed involving Mark Heiden’s conduct with Wedbush Securities Inc. alleging wrongful, intentional fraudulent and …
Brandon Preston Long (Brandon Long) Charged with Fraud and Barred by the SEC – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Brandon Preston Long (Brandon Long) Charged with Fraud and Barred by the SEC Brandon Long was formerly licensed with BCG Securities, Inc., LPL Financial LLC, and Jackson National Life Distributors LLC. FINRA reports that the SEC barred Brandon Long from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, …
Danny Scott Hood (Danny Hood) Barred from Securities Industry and Charged with Fraud by the SEC – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Danny Scott Hood (Danny Hood) Barred from Securities Industry and Charged with Fraud by the SEC Danny Hood was formerly licensed with Summit Brokerage Services, Inc., BCG Securities, Inc., LPL Financial LLC, and Valic Financial Advisors, Inc. FINRA reports that Danny Hood was barred by the SEC from association with any broker, …
James Travis Flynn (Jim Flynn) Fired by Voya Financial Advisors, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses on REITS
Goodman & Nekvasil P.A., May Recover Investor Losses on REITS – James Travis Flynn (Jim Flynn) Fired by Voya Financial Advisors, Inc. From May 2013 until Jim Flynn’s firing in February 2017, Jim Flynn was licensed with Voya Financial Advisors, Inc. Jim Flynn is now licensed with IFS Securities and was previously licensed with Capital Investment Group, Inc. According to FINRA …
Robert Bragg – Arbitration Claims Filed Involving Financial Advisor Robert Bragg
Robert Bragg – Arbitration Claims Filed Involving Financial Advisor Robert Bragg | Goodman & Nekvasil P.A., May Recover Investor Losses Robert Bragg CRD #4767535 Robert Bragg was licensed with VSR Financial Services, Inc. from 2004 to 2016. Robert Bragg is now licensed with Newbridge Securities Corporation. FINRA reports that four complaints and/or arbitration claims were filed involving Robert Bragg’s conduct with VSR …
Joseph Barton Dirago Jr. (Joe Dirago) Formerly Licensed with Morgan Stanley, Suspended from Securities Industry – Goodman & Nekvasil P.A., May Recover Your Investment Losses
Goodman & Nekvasil P.A., May Recover Your Investment Losses – Joseph Barton Dirago Jr. (Joe Dirago) Formerly Licensed with Morgan Stanley, Suspended from Securities Industry Joe Dirago was licensed with Morgan Stanley from 2006 to 2012. Joe Dirago is now licensed with Wells Fargo Clearing Services, LLC. Joe Dirago was suspended from the securities and investment banking industry for 15 days …
Dan Maughan – Arbitration Claims Filed Involving Financial Advisor Dan Maughan
Dan Maughan Formerly Licensed with Financial West Group | Goodman & Nekvasil P.A., May Recover Investor Losses Dan Maughan CRD #2561363 Dan Maughan was licensed with Financial West Group from 2010 to 2017. FINRA reports that an arbitration claim was filed involving Dan Maughan’s conduct with Financial West Group, alleging breach of fiduciary duty, negligence, misrepresentation, and/or other allegations. This arbitration …
Cary Jarrett Kievman (Cary Kievman) Formerly Licensed with Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Cary Jarrett Kievman (Cary Kievman) Formerly Licensed with Ameriprise Financial Services, Inc. Cary Kievman was licensed with Ameriprise Financial Services, Inc. from 2012 to 2016. Cary Kievman was previously licensed with Morgan Stanley Smith Barney. FINRA reports that three complaints and/or arbitration claims were filed involving Cary Kievman’s conduct with Ameriprise Financial …
Joel Harold Kassewitz (Joel Kassewitz) Formerly Licensed with Credit Suisse Securities (USA) LLC – Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Joel Harold Kassewitz (Joel Kassewitz) Formerly Licensed with Credit Suisse Securities (USA) LLC Joel Kassewitz was licensed with Credit Suisse Securities (USA) LLC from 2008 to 2016. Joel Kassewitz was subsequently licensed with Wells Fargo Advisors, LLC. FINRA reports that an arbitration claim was filed involving Joel Kassewitz’ conduct with Credit Suisse …