Joseph Serrato – Arbitration Claim Filed Involving Financial Advisor Joseph Serrato | Goodman & Nekvasil P.A, May Recover Investor Losses Joseph Serrato III CRD #2458277 Since June 2009, Joseph Serrato III was licensed with Morgan Stanley. FINRA reports that an arbitration claim was filed while Joseph Serrato III was licensed with with Morgan Stanley alleging closed-end fund investments in her account …
Charles Bonilla – Financial Advisor Charles Bonilla Fired by Scottrade, Inc.
Goodman & Nekvasil P.A, May Recover Investor Losses – Charles Bonilla – Financial Advisor Charles Bonilla Fired by Scottrade, Inc. Charles Bonilla CRD #2572107 From 2008 until Charles Bonilla’s firing in 2014, Charles Bonilla was licensed with Scottrade, Inc. Charles Bonilla is now licensed with David Lerner Associates, Inc. According to FINRA records, Charles Bonilla was fired by Scottrade, Inc. on …
Michael Spolar – Financial Advisor Michael Spolar Discharged from LPL Financial, LLC
Goodman & Nekvasil P.A, May Recover Investor Losses | Michael Spolar – Financial Advisor Michael Spolar Discharged from LPL Financial, LLC Michael Spolar CRD #2192992 From 2013 until Michael Spolar’s firing in 2015, Michael Spolar was licensed with LPL Financial, LLC. Michael Spolar is now licensed with International Assets Advisory, LLC. According to FINRA’s records, Michael Spolar was fired by …
Leonard Jay Suskind Licensed with UBS Financial Services, Inc. – Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Leonard Jay Suskind Licensed with UBS Financial Services, Inc. Since February 2013, Leonard Suskind has been licensed with UBS Financial Services, Inc. Leonard Suskind was previously licensed with Morgan Stanley. FINRA reports that an arbitration claim has been filed during Leonard Suskind’s employment with UBS Financial Services, Inc., alleging overconcentration in MLPs …
George Thiergartner Fired by Wells Fargo Advisors Financial Network, LLC – Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – George Edward Thiergartner Fired by Wells Fargo Advisors Financial Network, LLC From 2011 until George Thiergartner’s firing in 2012, George Thiergartner was licensed with Wells Fargo Advisors Financial Network, LLC. George Thiergartner is now licensed with with Moors & Cabot, Inc. and was previously licensed with Janney Montgomery Scott, LLC. According to …
Matthew Turner Licensed with Westpark Capital, Inc. – Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Matthew Ian Turner Licensed with Westpark Capital, Inc. Since November 2012, Matthew Turner was licensed with WestPark Capital, Inc. Matthew Turner was previously licensed with Laidlaw & Company (UK) Ltd. FINRA reports that an arbitration claim has been filed involving Matthew Turner’s conduct with WestPark Capital, Inc., alleging excessive trading and use …
Ernest Romer Fired by Corecap Investments, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – ERNEST ROMER FIRED BY CORECAP INVESTMENTS, INC. From 2012 until Ernest Romer’s firing in 2017, Ernest Romer was licensed with Corecap Investments, Inc. According to FINRA’s records, Ernest Romer was fired by Corecap Investments, Inc. on January 20, 2017. Corecap Investments, Inc. reported to FINRA that Ernest Romer was discharged for failing …
Thomas Jeffrey – Thomas Michael Jeffrey, Financial Advisor Discharged From UBS Financial Services, Inc
Goodman & Nekvasil May Recover Investor Losses – Thomas Jeffrey – Thomas Michael Jeffrey, Financial Advisor Discharged from UBS Financial Services, Inc. Thomas Michael Jeffrey CRD #1052111 From 2010 until Thomas Jeffrey’s firing in 2013, Thomas Jeffrey was a licensed financial advisor/broker with UBS Financial Services, Inc. Thomas Jeffrey is now a licensed financial advisor/broker with First Financial Equity Corporation and …
TIM PATRICK HALEY LICENSED WITH WELLS FARGO ADVISORS, LLC – GOODMAN & NEKVASIL P.A., MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – TIM PATRICK HALEY LICENSED WITH WELLS FARGO ADVISORS, LLC Since June 2010, Tim Haley was licensed with Wells Fargo Advisors, LLC. FINRA reports that an arbitration claim involving Tim Haley’s conduct with Wells Fargo Advisors, LLC was filed in 2014. The claimant alleged that investment recommendations made between January 2013 and December …
WILLIAM DAVID UTANSKI LICENSED WITH AMERIPRISE FINANCIAL SERVICES, INC. – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES FROM DENDREON CORPORATION STOCK
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES FROM DENDREON CORPORATION STOCK – WILLIAM DAVID UTANSKI LICENSED WITH AMERIPRISE FINANCIAL SERVICES, INC. Since October 2009, William Utanski has been licensed with Ameriprise Financial Services, Inc. FINRA reports that four arbitration claims have been filed during William Utanski’s employment with Ameriprise Financial Services, Inc. These claims allege investments in highly speculative stocks recommended …