Goodman & Nekvasil P.A, May Recover Investor Losses on Puerto Rico Bonds and Closed-End Funds – Sumaya De Los Angeles Musa Licensed with UBS Financial Services, Inc. and UBS Financial Services Incorporated of Puerto Rico Since 2007, Sumaya Musa, has been licensed with two firms, UBS Financial Services, Inc. and UBS Financial Services Incorporated of Puerto Rico. FINRA reports that three …
Islet Sciences, Inc. (f/k/a “ISLT”) Stock – Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Islet Sciences, Inc. (f/k/a “ISLT”) Stock The Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a disciplinary action against Kyle Patrick Harrington, a former stock broker with National Securities Corporation. FINRA alleges in this disciplinary action that Kyle Harrington entered into a “consulting” arrangement with Islet Sciences, Inc. (f/k/a “ISLT”) sometime in 2011, …
Linda Milberger Named in FINRA Disciplinary Action – Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Linda Milberger Named in FINRA Disciplinary Action The Financial Industry Regulatory Authority, Inc. (“FINRA”) has filed a disciplinary action against Linda Milberger, alleging that Linda Milberger worked as an assistant for Kyle Patrick Harrington. FINRA alleges that Kyle Harrington converted approximately $20,000 from one of his customers, engaged in several undisclosed private …
Liam OKeeffe – Financial Advisor Liam OKeefe Barred from Securities Industry
Liam OKeeffe – Financial Advisor Liam OKeefe Barred from Securities Industry | Goodman & Nekvasil P.A, May Recover Investor Losses Liam OKeefe CRD #2049144 Liam O’Keeffe has been licensed with Triad Advisors, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Liam O’Keeffe was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on October …
Giovanni Acevedo, Financial Advisor Barred From Securities Industry | Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses | Giovanni Acevedo, Financial Advisor Barred from Securities Industry From 2006 until Giovanni Acevedo’s discharge in 2014, Giovanni Acevedo was licensed with ING Financial Partners, Inc n/k/a Voya Financial Advisors, Inc. According to FINRA’s records, Giovanni Acevedo was fired by ING Financial Partners, Inc. on August 12, 2014. ING Financial Partners, Inc. …
Kyle Harrington – Financial Advisor Kyle Harrington Fired by National Securities Corporation | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Kyle Harrington – Financial Advisor Kyle Harrington Fired by National Securities Corporation Kyle Harrington CRD #2282328 From 2012 until Kyle Harrington’s firing in 2016, Kyle Harrington was licensed with National Securities Corporation. Kyle Harrington is now licensed with Aurora Capital, LLC and was previously licensed with Bannockburn Partners, LLC. According to FINRA’s …
Glenn Allen Moffitt Fired by Cambridge Investment Research, Inc. – Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Glenn Allen Moffitt Fired by Cambridge Investment Research, Inc. From 2013 until Glenn Moffitt’s firing in 2014, Glenn Moffitt was licensed with Cambridge Investment Research, Inc. Glenn Moffitt was also licensed with LPL Financial, LLC and First Allied Securities, Inc. According to FINRA’s records, Glenn Moffitt was fired by Cambridge Investment Research, …
Leavitt Freeman Sanders Fired by Triad Advisors, Inc. – Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Leavitt Freeman Sanders Fired by Triad Advisors, Inc. From 2008 to 2014, Leavitt Sanders was licensed with Invest Financial Corporation. Leavitt Sanders was subsequently licensed with Triad Advisors, Inc. Triad Advisors, Inc. reported to FINRA that Leavitt Sanders was fired on December 26, 2014. Triad Advisors, Inc. reported that Leavitt Sanders’ firing …
Terry Bagwell – Financial Advisor Terry Bagwell Barred from Securities Industry
Goodman & Nekvasil P.A, May Recover Investor Losses | Terry Bagwell – Financial Advisor Terry Bagwell Barred from Securities Industry From 2011 until March 2015, Terry Bagwell was a supervisor at Pruco Securities, LLC. Terry Bagwell was formerly licensed with MetLife Securities Inc. In March 2015, Terry Bagwell consented to a bar from the securities and investment banking industry by …
Wade Lawrence – Financial Advisor Wade Lawrence Pleads Guilty to Securities Fraud
Wade Lawrence – Financial Advisor Wade Lawrence Pleads Guilty to Securities Fraud | Goodman & Nekvasil P.A, May Recover Investor Losses Wade Lawrence aka Wade James Lawrence CRD #4512225 Wade Lawrence was licensed withSouthwest Securities, Inc. from August 2011 until December 2013. According to Wade Lawrence’s CRD, Wade Lawrence pled guilty to charges he violated Section 17(a) of the Securities Act. …