Bryan Wayne Anderson Pleads Guilty to Securities Fraud and Money Laundering – Goodman & Nekvasil P.A, May Recover Investor Losses Bryan Anderson has been licensed with MetLife Securities Inc. from 1998 to 2012 and was then licensed with Pruco Securities, LLC. On March 10, 2015, Bryan Anderson pled guilty to felony counts of wire fraud, securities fraud, and money laundering. Bryan Anderson …

Goodman & Nekvasil P.A, May Recover Investor Losses – Clay Emerson Hoffman Fired by SunTrust Investment Services, Inc.  From 2007 until Clay Hoffman’s firing in 2013, Clay Hoffman was licensed with SunTrust Investment Services, Inc. Clay Hoffman was subsequently licensed with Summit Brokerage Services, Inc. According to FINRA’s records, Clay Hoffman was fired by SunTrust Investment Services, Inc. on April 11, …

Goodman & Nekvasil P.A, May Recover Your Investment Losses – James Henry Dresselaers Licensed with H. Beck, Inc., Suspended from Securities Industry James Dresselaers has been licensed with H. Beck, Inc. since 2003. James Dresselaers was suspended from the securities and investment banking industry for 60 days, fined $10,000, and disgorged for $18,708 by the Financial Industry Regulatory Authority (FINRA). FINRA …

Goodman & Nekvasil P.A, May Recover Investor Losses – Karl Horace Romero Formerly Licensed with LPL Financial, LLC  From 1989 to 2016, Karl Romero was licensed with LPL Financial, LLC. FINRA reports that ten complaints and/or arbitration claims were filed involving Karl Romero’s conduct with LPL Financial, LLC alleging unsuitable and overconcentrated investment recommendations, negligence, breach of fiduciary duty, and/or misrepresentation. All …

Goodman & Nekvasil P.A, May Recover Investor Losses – Levert Caldwell Formerly Licensed with National Securities Corporation  From 2012 to 2015, Levert Caldwell was licensed with National Securities Corporation. Levert Caldwell is now licensed with First Standard Financial Company, LLC. FINRA reports that two arbitration claims were filed involving Levert Caldwell’s conduct with National Securities Corporation alleging unsuitability, and/or breach of …

Aileen Eppig Fired by Stifel, Nicolaus & Company, Incorporated – Goodman & Nekvasil P.A, May Recover Investor Losses From 2009 until Aileen Eppig’s firing in 2015, Aileen Eppig was licensed with Stifel, Nicolaus & Company, Incorporated. Aileen Eppig was also licensed with International Assets Advisory, LLC. According to FINRA’s records, Aileen Eppig was fired by Stifel, Nicolaus & Company, Incorporated …

Goodman & Nekvasil P.A, May Recover Investor Losses – Thomas Edmund Connors Fired by Prime Capital Services, Inc.  From 1993 to 2012, Thomas Connors was licensed with Prime Capital Services, Inc. Thomas Connors was subsequently licensed with First Allied Securities, Inc. and is now licensed with International Assets Advisory, LLC. According to FINRA’s records Thomas Connors was fired from Prime Capital …

Goodman & Nekvasil P.A, May Recover Your Investment Losses – Q Lotus Holdings, Inc. (“QLTS”) Stock In January 2016, Edward Durante, a recidivist securities law violator, was indicted, along with financial advisors Larry Werbel, Sheik Khan, and Christopher Cervino. The indictment alleged, among other things, that Larry Werbel, Sheik Khan and Christopher Cervino perpetrated a scheme to defraud more than 100 …

Goodman & Nekvasil P.A, May Recover Your Investment Losses – Haddad-Wylie Industries LLC (“HWIC”) Stock  In January 2016, Edward Durante, a recidivist securities law violator, was indicted, along with financial advisors Larry Werbel, Sheik Khan, and Christopher Cervino. The indictment alleged, among other things, that Larry Werbel, Sheik Khan and Christopher Cervino perpetrated a scheme to defraud more than 100 investors …

Goodman & Nekvasil P.A, May Recover Your Investment Losses – Cassidy Ventures, Inc. (“CSVN”) Stock  In January 2016, Edward Durante, a recidivist securities law violator, was indicted, along with financial advisors Larry Werbel, Sheik Khan, and Christopher Cervino. The indictment alleged, among other things, that Larry Werbel, Sheik Khan and Christopher Cervino perpetrated a scheme to defraud more than 100 investors …