Goodman & Nekvasil, P.A. May Recover Investor Losses | Charles Wallace – Financial Advisor Charles Wallace Discharged from Firm Charles Wallace CRD #2232489 From 2009 until his firing in 2013, Charles Wallace was licensed with Morgan Stanley. Charles Wallace is now licensed with Oppenheimer & Co. Inc. According to FINRA records, Charles Wallace was fired by Morgan Stanley Wealth Management on …

Mark Renz – Financial Advisor Mark Renz Discharged from Firm | Goodman & Nekvasil, P.A. May Recover Investor Losses Mark Renz CRD #2606707 From 2010 until his firing in 2012, Mark Renz was licensed with Citigroup Global Markets, Inc. Mark Renz was then licensed with LPL Financial LLC from October 2012 until April 2014. According to FINRA’s records, Mark Renz was fired …

GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – SAUL JOSEPH ROSEN LICENSED WITH FMSBONDS, INC.  Since November 1997, Saul Rosen has been licensed with FMSBonds, Inc. FINRA reports that an arbitration claim against Saul Rosen and FMSBonds, Inc. was filed in February 2015. The claimant alleged breach of fiduciary duty, negligence, negligent misrepresentations and omissions, mismarking of order tickets, …

GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – HOWARD LESTER SCHWARTZ FIRED BY RAYMOND JAMES FINANCIAL SERVICES, INC. From 2002 until his firing in 2013, Howard Schwartz was licensed with Raymond James Financial Services, Inc. According to FINRA’s records, Howard Schwartz was fired by Raymond James Financial Services, Inc. on August 9, 2013. Raymond James Financial Services, Inc. reported to …

Goodman & Nekvasil, PA May Recover Investor Losses | Lewis Robinson – Financial Advisor Lewis Robinson Discharged by Morgan Stanley Lewis Robinson CRD #1630516 From 2009 until his firing in 2015, Lewis Robinson worked for Morgan Stanley. According to FINRA’s records, Lewis Robinson was fired by Morgan Stanley on October 6, 2015. Morgan Stanley reported to FINRA that allegations against Lewis …

Goodman & Nekvasil, P.A. May Recover Investor Losses | Charles Frieda – Charles Henry Frieda, Arbitration Claim Filed Against Financial Advisor Charles Frieda CRD #5502319 Since October 2012, Charles Frieda has been licensed with Wells Fargo Clearing Services, LLC. FINRA reports that 44 arbitration claims have been filed while Charles Frieda was licensed with Wells Fargo Clearing Services, LLC, alleging …

Charles Lynch – Charles Bernard Lynch Jr, Arbitration Claims Filed Involving Financial Advisor | Goodman & Nekvasil, P.A. May Recover Investor Losses Charles Lynch CRD #3004877 Since October 2012, Charles Lynch was licensed with Wells Fargo Advisors, LLC. FINRA reports that 46 arbitration claims have been filed during Charles Lynch’s employment with Wells Fargo Advisors, LLC, alleging that Charles Lynch …

GOODMAN & NEKVASIL, P.A. MAY RECOVER YOUR INVESTMENT LOSSES – VOYAGER FINANCIAL GROUP, LLC a/k/a VFG, LLC Numerous states have brought enforcement actions against Voyager Financial Group, LLC, a/k/a VFG, LLC, alleging that Voyager Financial Group, LLC, a/k/a VFG, LLC, sold these investments in violation of state securities laws. The New Mexico Securities Division filed an action in December 2013 alleging that …

GOODMAN & NEKVASIL CAN RECOVER YOUR INVESTMENT LOSSES ON VOYAGER FINANCIAL GROUP, LLC a/k/a VFG, LLC – JOHN THOMAS OATES, JR. – SUSPENDED FROM SECURITIES INDUSTRY John Thomas Oates, Jr., was suspended from the securities and investment banking industry for 6 months by the Financial Industry Regulatory Authority (“FINRA”) for selling approximately $1.4 million in Voyager Financial Group, LLC a/k/a VFG, …

Paul Blum – Financial Advisor Paul Blum Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Paul Blum CRD #735003 Paul Blum was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) in August 2017 for refusing to appear for on-the-record testimony during an investigation regarding customer complaints and arbitration …