GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – PAUL W. EDWARDS, NYLIFE SECURITIES, LLC Since August 2012, Paul Edwards has been licensed with NYLIFE Securities, LLC. FINRA reports that an arbitration claim has been filed during Paul Edwards’ employment with NYLIFE Securities, LLC, alleging that Paul Edwards made two fixed annuity purchases in December 2016 that were not in …
CRAIG D. DANIEL PRICE FIRED BY UBS FINANCIAL SERVICES, INC. – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – CRAIG D. DANIEL PRICE FIRED BY UBS FINANCIAL SERVICES, INC. From 2000 until his firing in 2016, Craig Price was licensed with UBS Financial Services, Inc. According to FINRA’s records, Craig Price was fired by UBS Financial Services, Inc. on Feb. 29, 2016. UBS Financial Services, Inc. reported to FINRA that Craig …
Kevin Moran – Financial Advisor Kevin Moran Discharged from Firm
Goodman & Nekvasil, PA May Recover Investor Losses | Kevin Moran – Financial Advisor Kevin Moran Discharged from Firm Kevin Moran CRD #4321460 From 2009 until his firing in 2017, Kevin Moran was licensed with Ameriprise Financial Services, Inc. Kevin Moran is now licensed with International Assets Advisory, LLC. According to FINRA’s records, Kevin Moran was fired by Ameriprise Financial Services, …
Jeffrey Fladell – Customer Disputes Filed Involving Financial Advisor/Broker | Recover Investment Losses
Jeffrey Fladell – Customer Disputes Filed Involving Financial Advisor/Broker | Goodman & Nekvasil P.A. May Recover Investor Losses Jeffrey Fladell a/k/a Jeffrey Alan Fladell CRD #209278 Jeffrey Fladell a/k/a Jeffrey Alan Fladell is a previously licensed financial advisor with RBC Capital Markets, LLC. According to Jeffrey Fladell’s BrokerCheck Report: Customer Dispute 3/20/19: Claimants allege they were over concentrated and invested …
DAVID WAYNE KRAFT, MORGAN STANLEY- GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – DAVID WAYNE KRAFT, MORGAN STANLEY Since July 2012, David Kraft has been licensed with Morgan Stanley. FINRA reports that an arbitration claim has been filed during David Kraft’s employment with Morgan Stanley Smith Barney, alleging that David Kraft made misrepresentations with respect to mutual fund investments in an account. This claim …
David Fagenson – Financial Advisor/Broker David Fagenson Fired by UBS Financial Services, Inc.
David Fagenson – Financial Advisor/Broker David Fagenson Fired by UBS Financial Services, Inc. | Goodman & Nekvasil P.A May Recover Investor Losses David Fagenson CRD #1652012 From 2010 until his firing in 2016, David Fagenson was licensed with UBS Financial Services, Inc. David Fagenson is currently licensed with Newbridge Securities Corporation. According to FINRA’s records, David Fagenson was fired by UBS …
RICARDO SANCHEZ LICENSED WITH PFS INVESTMENTS, INC.- GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – RICARDO SANCHEZ LICENSED WITH PFS INVESTMENTS, INC. Since August 2000, Ricardo Sanchez has been licensed with PFS Investments, Inc. FINRA reports that two arbitration claims have been filed during Ricardo Sanchez’s employment with PFS Investments, Inc. alleging that Ricardo Sanchez made misstatements related to an employee’s decision to transfer from a …
John Eads – Arbitration Claim Filed Involving Financial Advisor/Broker John Eads
John Eads – Arbitration Claim Filed Involving Financial Advisor/Broker John Eads | Goodman & Nekvasil P.A. May Recover Investor Losses John Eads CRD #2764843 Since November 2009, John Eads has been licensed with AXA Advisors, LLC. FINRA reports that an arbitration claim has been filed while John Eads was licensed with AXA Advisors, LLC, alleging that John Eads made unsuitable …
Gary Guglielmo – Arbitration Claim Filed Involving Financial Advisor Gary Guglielmo
Gary Guglielmo – Arbitration Claim Filed Involving Financial Advisor Gary Guglielmo | Goodman & Nekvasil, P.A. May Recover Investor Losses Gary Guglielmo CRD #2759496 Since June 2009, Gary Guglielmo has been licensed with Morgan Stanley. FINRA reports that an arbitration claim has been filed while Gary Guglielmo’s was licensed with Morgan Stanley alleging that Gary Guglielmo traded excessively in a …
RONALD ARTHUR CHRISTOPHER JR., – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
RONALD ARTHUR CHRISTOPHER JR., – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES FINRA reports that an arbitration claim has been filed, alleging that Ronald Christopher Jr. made unsuitable investments, was negligent, and breached fiduciary duty. The alleged damages in this pending arbitration claim involving Ronald Christopher Jr. is for $400,000. If you lost any money on investments with Ronald …