Goodman & Nekvasil P.A., May Recover Investor Losses – Andrew Bain Rogers (Andrew Rogers) Licensed with Morgan Stanley Since 2010, Andrew Rogers has been licensed with Morgan Stanley. FINRA reports that an arbitration claim was filed involving Andrew Rogers’ conduct with Morgan Stanley alleging that three mutual funds were misrepresented as being permissible investments for the Credit Union. This arbitration claim …

Goodman & Nekvasil P.A., May Recover Investor Losses – Patrick Henry Maddren (Patrick Maddren) Formerly Licensed with Dawson James Securities, Inc.  Since August 2017, Patrick Maddren has been licensed with WestPark Capital, Inc. Patrick Maddren was previously licensed with Laidlaw & Company (UK) Ltd. and Dawson James Securities, Inc. FINRA reports that an arbitration claim was filed involving Patrick Maddren’s conduct …

Goodman & Nekvasil P.A., May Recover Investor Losses – John Kenneth Pritchard (John Pritchard) Formerly Licensed with Janney Montgomery Scott LLC  Since 2016, John Pritchard has been licensed with Aegis Capital Corp. John Pritchard was previously licensed with Janney Montgomery Scott LLC, Raymond James & Associates, Inc., and Morgan Keegan & Company, Inc. FINRA reports that two arbitration claims were filed …

Goodman & Nekvasil P.A., May Recover Investor Losses – Omar Ibrahim Hassan (Omar Hassan) licensed with PHX Financial, Inc.  Since 2013, Omar Hassan has been licensed with PHX Financial, Inc. FINRA reports that an arbitration claim involving Omar Hassan’s conduct with Omar Hassan’s prior brokerage firm was filed, alleging failure to disclose material risks and failure to recommend suitable investments. This …

Goodman & Nekvasil P.A., May Recover Investor Losses – Clark Fernando Gambarrotti (Clark Gambarrotti) Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated From 2013 until Clark Gambarrotti’s discharge in 2016, Clark Gambarrotti was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Clark Gambarrotti was previously licensed with TD Ameritrade, Inc. According to FINRA’s records, Clark Gambarrotti was discharged from …

Goodman & Nekvasil P.A., May Recover Investor Losses – Bryan Preston Lubitz (Bryan Lubitz) Licensed with Aegis Capital Corp. Since 2015, Bryan Lubitz has been licensed with Aegis Capital Corp. Bryan Lubitz was previously licensed with Newbridge Securities Corporation and Trident Partners Ltd. FINRA reports that two arbitration claims were filed involving Bryan Lubitz’ conduct with Newbridge Securities Corporation and/or Trident …

Goodman & Nekvasil P.A., May Recover Investor Losses – Gianluca Truffini Formerly Licensed with Morgan Stanley From 2015 until Gianluca Truffini’s resignation in 2016, Gianluca Truffini was licensed with Morgan Stanley. Gianluca Truffini is now licensed with Newbridge Securities Corporation. According to FINRA’s records, Gianluca Truffini resigned from Morgan Stanley on June 1, 2016. Morgan Stanley reported to FINRA that there …

Michael Stewart Weber (Michael Weber) Formerly Licensed with Newbridge Securities Corporation – Goodman & Nekvasil P.A, May Recover Investor Losses Michael Weber was licensed with Newbridge Securities Corporation from 2009 to 2012 and 2015 to 2016. FINRA reports that two arbitration claims have been filed involving Michael Weber’s conduct with Newbridge Securities Corporation. These claims allege breach of fiduciary duty, …

Goodman & Nekvasil, P.A., May Recover Investor Losses – China Domestica Bio-technology Holdings, Inc. (CDBH) Suspended by the SEC from Trading  In suspending China Domestica Bio-technology Holdings, Inc. (CDBH) stock from trading, the SEC explained that China Domestica Bio-technology Holdings, Inc. (CDBH) is delinquent in its periodic filings with the Commission, having not filed any periodic reports since it filed a Form …

Goodman & Nekvasil, P.A., May Recover Investor Losses – USA Graphite, Inc. (USGT) Suspended by the SEC from Trading In suspending USA Graphite, Inc. (USGT) stock from trading, the SEC explained that USA Graphite, Inc. (USGT) is delinquent in its periodic filings with the Commission, having not filed any periodic reports since it filed a Form 10-K for the period ended August …