Goodman & Nekvasil P.A, May Recover Your Investment Losses – James Henry Dresselaers Licensed with H. Beck, Inc., Suspended from Securities Industry James Dresselaers has been licensed with H. Beck, Inc. since 2003. James Dresselaers was suspended from the securities and investment banking industry for 60 days, fined $10,000, and disgorged for $18,708 by the Financial Industry Regulatory Authority (FINRA). FINRA …

Goodman & Nekvasil P.A, May Recover Investor Losses – Karl Horace Romero Formerly Licensed with LPL Financial, LLC  From 1989 to 2016, Karl Romero was licensed with LPL Financial, LLC. FINRA reports that ten complaints and/or arbitration claims were filed involving Karl Romero’s conduct with LPL Financial, LLC alleging unsuitable and overconcentrated investment recommendations, negligence, breach of fiduciary duty, and/or misrepresentation. All …

Goodman & Nekvasil P.A, May Recover Investor Losses – Levert Caldwell Formerly Licensed with National Securities Corporation  From 2012 to 2015, Levert Caldwell was licensed with National Securities Corporation. Levert Caldwell is now licensed with First Standard Financial Company, LLC. FINRA reports that two arbitration claims were filed involving Levert Caldwell’s conduct with National Securities Corporation alleging unsuitability, and/or breach of …

Aileen Eppig Fired by Stifel, Nicolaus & Company, Incorporated – Goodman & Nekvasil P.A, May Recover Investor Losses From 2009 until Aileen Eppig’s firing in 2015, Aileen Eppig was licensed with Stifel, Nicolaus & Company, Incorporated. Aileen Eppig was also licensed with International Assets Advisory, LLC. According to FINRA’s records, Aileen Eppig was fired by Stifel, Nicolaus & Company, Incorporated …

Goodman & Nekvasil P.A, May Recover Investor Losses – Thomas Edmund Connors Fired by Prime Capital Services, Inc.  From 1993 to 2012, Thomas Connors was licensed with Prime Capital Services, Inc. Thomas Connors was subsequently licensed with First Allied Securities, Inc. and is now licensed with International Assets Advisory, LLC. According to FINRA’s records Thomas Connors was fired from Prime Capital …

Goodman & Nekvasil P.A, May Recover Your Investment Losses – Q Lotus Holdings, Inc. (“QLTS”) Stock In January 2016, Edward Durante, a recidivist securities law violator, was indicted, along with financial advisors Larry Werbel, Sheik Khan, and Christopher Cervino. The indictment alleged, among other things, that Larry Werbel, Sheik Khan and Christopher Cervino perpetrated a scheme to defraud more than 100 …

Goodman & Nekvasil P.A, May Recover Your Investment Losses – Haddad-Wylie Industries LLC (“HWIC”) Stock  In January 2016, Edward Durante, a recidivist securities law violator, was indicted, along with financial advisors Larry Werbel, Sheik Khan, and Christopher Cervino. The indictment alleged, among other things, that Larry Werbel, Sheik Khan and Christopher Cervino perpetrated a scheme to defraud more than 100 investors …

Goodman & Nekvasil P.A, May Recover Your Investment Losses – Cassidy Ventures, Inc. (“CSVN”) Stock  In January 2016, Edward Durante, a recidivist securities law violator, was indicted, along with financial advisors Larry Werbel, Sheik Khan, and Christopher Cervino. The indictment alleged, among other things, that Larry Werbel, Sheik Khan and Christopher Cervino perpetrated a scheme to defraud more than 100 investors …

Goodman & Nekvasil P.A, May Recover Your Investment Losses – Sheik Firdosh Khan Found Guilty of Securities Fraud  Sheik Khan was licensed with Ameritas Investment Corp. from May 2002 to December 2013. On March 22, 2017, a jury returned a verdict finding Sheik Khan guilty of Title 15, United States Code, Section 78j(b); and Title 18, United States Code, Section 371, …

Goodman & Nekvasil P.A, May Recover Your Investment Losses – Christopher Michael Cervino Found Guilty of Securities Fraud Christopher Cervino was licensed with COR Clearing LLC from August 2013 to October 2014. Christopher Cervino was then licensed with Primary Capital, LLC from October 2014 to January 2016. On March 22, 2017, a jury returned a verdict finding Sheik Khan guilty of …