Goodman & Nekvasil P.A, May Recover Your Investment Losses – Thomas H. Lawrence III Suspended from Securities Industry  Thomas Lawrence III was licensed with Ameritas Investment Corp. from 2006 to 2016. Thomas Lawrence III was suspended from the securities and investment banking industry for 2 years, fined $5,000, and ordered to pay $41,332.65 in restitution by the Financial Industry Regulatory Authority …

Goodman & Nekvasil P.A, May Recover Your Investment Losses – Dale Wesley Davenport Suspended from Securities Industry Dale Davenport was licensed with Newbridge Securities Corporation Incorporated from 2011 to 2014. Dale Davenport was suspended from the securities and investment banking industry for six months and fined $7,500 by the Financial Industry Regulatory Authority (FINRA). FINRA reports that Dale Davenport, consented to …

Goodman & Nekvasil P.A, May Recover Investor Losses | Andrew Court – Financial Advisor Andrew Court Permitted to Resign from Ameriprise Financial Services, Inc. Andrew Court aka Andrew John Court CRD #1831823 From 1988 until Andrew Court’s resignation in 2016, Andrew Court was licensed with Ameriprise Financial Services, Inc. Andrew Court is now licensed with Gradient Securities, LLC. According to …

Goodman & Nekvasil P.A, May Recover Options Losses – August Anthony Cenname Licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated  Since 1978, August Cenname has been licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. FINRA reports that an arbitration claim was filed involving August Cenname’s conduct with Merill Lynch, Pierce, Fenner & Smith Incorporated. This claim alleged unsuitable investment …

Goodman & Nekvasil P.A., May Recover Investor Losses – Darnell Kenneth Mote Resigned Under Investigation by Wells Fargo Bank Darnell Mote was licensed with Wells Fargo Advisors, LLC from 2012 to 2015. Darnell Mote is now licensed with NYLIFE Securities LLC. According to FINRA records, Wells Fargo Advisors, LLC reported to FINRA that Darnell Mote’s resignation related to Wells Fargo Bank’s …

Goodman & Nekvasil P.A, May Recover Investor Losses – German Ricardo Mora Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated  From 2015 until his firing in 2016, German Mora was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. German Mora has also been licensed with Wells Fargo Clearing Services, LLC, BBVA Securities Inc. and is now licensed with Mora …

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 …

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, …

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 | 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 …