Goodman & Nekvasil, P.A. May Recover Investor Losses – Mark Trewitt – Mark Andrew Trewitt, Arbitration Claim Filed Against Financial Advisor Since November 2010, Mark Trewitt has been licensed with VFG Securities, Inc. FINRA reports that an arbitration claim was filed during Mark Trewitt’s employment with VFG Securities, Inc. This arbitration claim involving Mark Trewitt’s conduct with VFG Securities, Inc. was …
CARLOS W. SEDA FORMERLY LICENSED WITH ORIENTAL FINANCIAL SERVICES, CORP. – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – CARLOS W. SEDA FORMERLY LICENSED WITH ORIENTAL FINANCIAL SERVICES, CORP. Carlos Seda was formerly licensed with Kovack Securities (2014-2017), Oriental Financial Services, Corp. (2013-2014), and Santander Securities (2002-2007). FINRA reports that two arbitration claims have been filed while Carlos Seda’s was licensed with Oriental Financial Services, Corp. and Santander Securities, alleging unsuitable …
ROBERT ESTEVEZ SUSPENDED FROM SECURITIES INDUSTRY – GOODMAN & NEKVASIL P.A, MAY RECOVER YOUR INVESTMENT LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER YOUR INVESTMENT LOSSES – ROBERT ESTEVEZ SUSPENDED FROM SECURITIES INDUSTRY Robert Estevez currently works for Joseph Gunnar & Co. LLC, and has previously worked for Investors Capital Corp. Robert Estevez was suspended from the securities and investment banking industry for two months by the Financial Industry Regulatory Authority (FINRA) in September 2016. Robert Estevez consented …
David Searcy – Arbitration Claim Filed Against Financial Advisor David Searcy
David Searcy – Arbitration Claim Filed Against Financial Advisor David Searcy | Goodman & Nekvasil, P.A. May Recover Investor Losses David Searcy CRD #2264199 From 1999 until his resignation in 2013, David Searcy was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. David Searcy is now licensed with Morgan Stanley. According to FINRA’s records, David Searcy resigned from Merrill …
JAMES GILBERT BLAIR FORMERLY LICENSED WITH RAYMOND JAMES FINANCIAL SERVICES, INC. – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – JAMES GILBERT BLAIR FORMERLY LICENSED WITH RAYMOND JAMES FINANCIAL SERVICES, INC. From 2002 to 2017, James Blair was licensed with Raymond James Financial Services, Inc. FINRA reports that two pending arbitration claims have been filed, alleging unsuitability, breach of fiduciary duty, breach of contract, violations of securities industry regulatory rules, violations of …
GERALD JAMES OHALLORAN LICENSED WITH KOVACK SECURITIES, INC. – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – GERALD JAMES OHALLORAN LICENSED WITH KOVACK SECURITIES, INC. Since May 2004, Gerald Ohalloran has been licensed with Kovack Securities, Inc. FINRA reports that an arbitration claim against Gerald Ohalloran and Kovack Securities, Inc. was filed in August 2007. The claimant alleged unauthorized transactions by Gerald Ohalloran while Gerald Ohalloran was licensed with …
BRADFORD JOHN COMBES FIRED BY MML INVESTORS SERVICES, LLC – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – BRADFORD JOHN COMBES FIRED BY MML INVESTORS SERVICES, LLC From 2012 until his firing in 2015, Bradford Combes was licensed with MML Investors Services, LLC. Bradford Combes is currently licensed with Principal Securities, Inc. According to FINRA’s records, Bradford Combes was fired by MML Investors Services, LLC on Aug 4, 2015. MML …
KENNETH JOSEPH ARENA PERMITTED TO RESIGN FROM AMERIPRISE FINANCIAL SERVICES, INC. – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – KENNETH JOSEPH ARENA PERMITTED TO RESIGN FROM AMERIPRISE FINANCIAL SERVICES, INC. From 2007 until his resignation in 2014, Kenneth Arena was licensed with Ameriprise Financial Services, Inc. Kenneth Arena is now licensed with with Newbridge Securities Corporation. According to FINRA’s records, Kenneth Arena was permitted to resign from Ameriprise Financial Services, Inc. …
JONATHAN WILLIAM AFFE PERMITTED TO RESIGN FROM CENTAURUS FINANCIAL, INC. – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – JONATHAN WILLIAM AFFE PERMITTED TO RESIGN FROM CENTAURUS FINANCIAL, INC. From 2008 until his resignation in 2016, Jonathan Affe was licensed with Centaurus Financial, Inc. Jonathan Affe is now licensed with Vanderbilt Securities, LLC. According to FINRA’s records, Jonathan Affe was permitted to resign from Centaurus Financial, Inc. on Dec 13, 2016. …
Michael Sears – Arbitration Claims Filed Involving Financial Advisor Michael Sears
Michael Sears – Arbitration Claims Filed Involving Financial Advisor Michael Sears | Goodman & Nekvasil, P.A. May Recover Investor Losses Michael Sears CRD #2205917 Since December 2006, Michael Sears has been licensed with Questar Capital Corporation. FINRA reports that two arbitration claims have been filed during Michael Sears’ employment with Questar Capital Corporation, alleging unsuitable subaccount allocations and/or that due …