Goodman & Nekvasil P.A, May Recover Investor Losses | Jesse Griffin – Arbitration Claims Filed Involving Financial Advisor Jesse Griffin Jesse Griffin CRD #1165095 Since July 2016, Jesse Griffin Jr. has been licensed with Newbridge Securities Corporation, Jesse Griffin Jr. was previously licensed with VSR Financial Services, Inc. FINRA reports that five arbitration claims were filed during Jesse Griffin Jr. ’s …
Carmine Capone Suspended from Securities Industry – Goodman & Nekvasil P.A, May Recover Your Investment Losses
Goodman & Nekvasil P.A, May Recover Your Investment Losses – Carmine Capone Suspended from Securities Industry Carmine Capone has been licensed with The GMS Group, LLC since November 1988. Carmine Capone was suspended from the securities and investment banking industry in all principal capacities for 30-days and fined $10,000 by the Financial Industry Regulatory Authority (FINRA) in October 2015. Carmine Capone …
Nicholas Sabellico Fired by JPMorgan Chase Bank – Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Nicholas Sabellico Discharged by JPMorgan Chase Bank From 2012 until Nicholas Sabellico’s firing in 2013, Nicholas Sabellico was licensed with J.P. Morgan Securities, LLC. From 2010 to 2012 Nicholas Sabellico was licensed with Chase Investment Services Corp. Nicholas Sabellico is now licensed with Laidlaw & Company (UK) Ltd. According to FINRA’s records, …
Ronald Clark – Financial Advisor Ronald Clark Suspended from Securities Industry
Ronald Clark – Financial Advisor Ronald Clark Suspended from Securities Industry | Goodman & Nekvasil P.A, May Recover Your Investment Losses Ronald Clark CRD #1086724 Ronald Clark has been licensed with Summit Brokerage Services, Inc. since March 2009. Ronald Clark was suspended for 15-days and fined $5,000 by the Financial Industry Regulatory Authority (FINRA) in July 2011. Ronald Clark consented to …
Manuel Calero Gonzalez De Cosio Licensed with VectorGlobal WMG, Inc. – Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Manuel Calero Gonzalez De Cosio Licensed with VectorGlobal WMG, Inc. Since July 2017, Manuel Calero Gonzalez De Cosio has been licensed with VectorGlobal WMG, Inc. Manuel Calero Gonzalez De Cosio was previously licensed with Wells Fargo Advisors, LLC (2014-2016) and VectorGlobal WMG, Inc. (2012-2014). FINRA reports that an arbitration claim has been …
Bill Byrd – Arbitration Claims Filed Involving Financial Advisor/Broker Bill Byrd
Bill Byrd – Arbitration Claims Filed Involving Financial Advisor/Broker Bill Byrd | Goodman & Nekvasil, P.A. May Recover Investor Losses Bill Byrd CRD #1334634 From 2001 to 2016, Bill Byrd was licensed with Transamerica Financial Advisors, Inc. Bill Byrd subsequently licensed with Invest Financial Corporation, and is now licensed with Capital Financial Services, Inc. FINRA reports that two arbitration claims …
Joseph Serrato – Arbitration Claim Filed Involving Financial Advisor Joseph Serrato
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 …