Senior Solutions of Social Circle, LLC – SEC Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Orders Cease and Desist Against Senior Solutions of Social Circle, LLC ACCORDING TO THE SEC: The Commission brings this emergency action to halt ongoing fraudulent conduct by Dwayne Edwards (“Edwards”) in connection with a series of fraudulent …
Direct Lending Investments, LLC – SEC Charges with Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses
Direct Lending Investments, LLC – SEC Charges with Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Direct Lending Investments ACCORDING TO THE SEC: On March 22, 2019, the Securities and Exchange Commission charged registered investment adviser Direct Lending Investments, LLC with a multi-year fraud that resulted in approximately $11 million in over-charges of …
Paul Soll – Financial Advisor Paul Soll Barred from Securities Industry
Paul Soll – Financial Advisor Paul Soll Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Paul Soll was a previously licensed broker/financial advisor with Western International Securities, Inc. and Financial West Group in Los Angeles, California. FINRA reports that Paul Soll was barred from the securities and investment banking industry in July 2018. ACCORDING TO FINRA: …
Dallas York – Dallas Richardson York, Financial Advisor Barred from Securities Industry
Goodman & Nekvasil P.A., May Recover Investor Losses | Dallas York – Dallas Richardson York, Financial Advisor Barred from Securities Industry Dallas York was a previously licensed financial advisor with Wells Fargo Clearing Services, LLC in Scottsdale, Arizona. FINRA reports that Dallas York was barred from the securities and investment banking industry in April 2018. ACCORDING TO FINRA: Dallas York was …
John Gordinier – Customer Dispute Settled Involving Financial Advisor John Gordinier
John Gordinier – Customer Dispute Settled Involving Financial Advisor John Gordinier | Goodman & Nekvasil P.A., May Recover Investor Losses John Gordinier Financial Advisor CRD #2363965 John Gordinier is currently licensed with J.J.B. Hilliard, W.L. Lyons, LLC in Louisville, Kentucky. According to John Gordinier’s CRD, a customer dispute was settled involving John Gordinier’s conduct. According to John Gordinier’s CRD, the claimants …
Jodie LaMarre – Financial Advisor Jodie LaMarre Suspended from Securities Industry
Goodman & Nekvasil P.A., May Recover Investor Losses | Jodie LaMarre, Financial Advisor Jodie LaMarre Suspended from Securities Industry Jodie LaMarre CRD #2127928 Jodie LaMarre was formerly licensed with Janney Montgomery Scott and Robert W. Baird & Co. Incorporated in Sarasota, Florida. FINRA reports that Jodie LaMarre was suspended from the securities industry for 1 year in March, 2018. According to …
Michael Siegel – Michael Alan Siegel, Financial Advisor Barred from Securities Industry
Goodman & Nekvasil P.A., May Recover Investor Losses | Michael Siegel – Michael Alan Siegel, Financial Advisor Barred from Securities Industry Michael Siegel was a formerly licensed financial advisor with National Securities Corporation and Concorde Investment Services, LLC in New Jersey. FINRA reports that Michael Siegel was barred from the securities and investment banking industry on October 28, 2016. FINRA reports …
Charles Friedlander, Customer Dispute Settled Involving Financial Advisor
Goodman & Nekvasil P.A., May Recover Investor Losses | Charles Friedlander, Customer Dispute Settled Involving Financial Advisor Charles Friedlander CRD #1766198 Charles Friedlander was formerly licensed with Merrill Lynch in Garden City, New York. According to Charles Friedlander’s CRD, a customer dispute was settled involving Charles Friedlander’s conduct. According to Charles Friedlander’s CRD, the customers alleged unsuitable investment recommendations from 2014 …
Abraham Heimann, Customer Disputes Settled Involving Financial Advisor
Goodman & Nekvasil P.A., May Recover Investor Losses | Abraham Heimann, Customer Disputes Settled Involving Financial Advisor Abraham Heimann was formerly licensed with Cetera Advisors, LLC in Alpharetta, Georgia. According to Abraham Heimann’s CRD, 8 customer disputes were settled involving Abraham Heimann’s conduct. Among other allegations, claimant(s) allege mishandling of account, unsuitable energy sector investments, breach of fiduciary duty and negligence. …
Stu Godin – Stuart Myles Godin, Customer Disputes Settled Involving Financial Advisor
Goodman & Nekvasil P.A., May Recover Investor Losses | Stu Godin – Stuart Myles Godin, Customer Disputes Settled Involving Financial Advisor Stu Godin is currently licensed with Western International Securities, Inc. in Los Angeles, California. Stu Godin was previously licensed with Financial West Group and RBC Capital Markets, LLC. According to Stu Godin’s CRD, 5 customer disputes were settled involving Stu …