Harold Couglar – Financial Advisor Harold Couglar Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Harold Couglar Financial Advisor CRD #1193367 Key Points Harold Couglar Barred from the Securities Industry by FINRA Harold Cougar Formerly Licensed with Montage Securities, Inc. Harold Couglar was licensed with Montage Securities, LLC from 2012 to 2017. FINRA reports that …

Goodman & Nekvasil P.A., May Recover Investor Losses | Frank Bazan – Financial Advisor Frank Bazan Suspended from Securities Industry  Frank Bazan Financial Advisor CRD #5593113 Frank Bazan was previously licensed with BBVA Securities, Inc. from 2013 to 2016. Frank Bazan consented to the sanctions and to the entry of findings that Frank Bazan failed to disclose that he was involved …

John Douglas Wade – John Wade, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses John Douglas Wade was a previously licensed financial advisor with U.S. Bancorp Investments, Inc. FINRA reports that John Douglas Wade was barred from the securities and investment banking industry in June 2018. ACCORDING TO FINRA: John Douglas Wade consented to …

Goodman & Nekvasil, P.A. May Recover Investor Losses | Kevin Woolf, CEO of Taylor Hotel Formerly Licensed with Morgan Stanley Barred from Securities Industry  Goodman & Nekvasil, P.A. may help investors recover monies that they lost on investments with Kevin Woolf. According to FINRA, Kevin Woolf was barred from the securities industry on January 26, 2018. FINRA reports that Kevin Woolf …

Goodman & Nekvasil P.A., May Recover Investor Losses | Ricardo Estrada, Financial Advisor Suspended from Securities Industry  Ricardo Estrada was previously licensed with MML Investors Services, LLC from 2014 to 2017. Ricardo Estrada consented to the sanctions and to the entry of findings that Ricardo Estrada engaged in an outside business activity without seeking prior approval from his member firm. ACCORDING …

Goodman & Nekvasil P.A., May Recover Investor Losses | Scott Donato, Financial Advisor Barred from Securities Industry  Scott Donato was a previously licensed financial advisor with Morgan Stanley. Scott Donato was barred from the securities and investment banking industry in March 2019. FINRA reports that Scott Donato failed to respond to FINRA request for information. FINRA reports that 3 customer disputes …

Goodman & Nekvasil P.A., May Recover Investor Losses | Kenneth Stewart Tyrrell (Ken Tyrrell), Financial Advisor Barred from Securities Industry  Ken Tyrrell was a previously licensed financial advisor with Cary Street Partners and UBS Financial Services, Inc. FINRA reports that Ken Tyrrell was barred from the securities and investment banking industry in December 2017. ACCORDING TO FINRA: Tyrrell consented to the sanction …

Goodman & Nekvasil P.A., May Recover Investor Losses | Scott Jason Wallach – Scott Wallach, Financial Advisor Suspended from Securities Industry Scott Wallach is a financial advisor who has been licensed with APW Capital, Inc. since 2017. Scott Wallach was previously licensed with Wells Fargo Clearing Services, LLC. FINRA reports that Scott Wallach was suspended from the securities and investment …

Goodman & Nekvasil P.A., May Recover Investor Losses | Larry Martin Boggs – Larry Boggs, Financial Advisor Barred from Securities Industry Larry Boggs was previously licensed with Wedbush Securities, Inc. and Ameriprise Financial Services, Inc. FINRA reports that Larry Boggs was barred from the securities industry in January 2018. ACCORDING TO FINRA: Larry Boggs consented to the sanctions and to the entry …

Goodman & Nekvasil P.A., May Recover Investor Losses | William Glenn Downing – Bill Downing, Financial Advisor Barred from Securities Industry  Bill Downing was previously licensed with Coastal Equities, Inc. and J.W. Cole Financial, Inc. FINRA reports that Bill Downing was barred from the securities industry on August 20, 2018.   ACCORDING TO FINRA: Bill Downing failed to respond to FINRA request …