Goodman & Nekvasil P.A., May Recover Investor Losses | Jermaine Joseph – Jermaine Doral Joseph, Financial Advisor Barred from Securities Industry by FINRA  Jermaine Joseph was previously licensed with PFS Investments, Inc. FINRA reports that Jermaine Joseph was barred from the securities industry in December 2017. According to FINRA: Jermaine Joseph consented to the sanction and to the entry of findings that …

Michael Castillero – Financial Advisor Michael Castillero Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Castillero CRD #4583917 Michael Castillero was a previously licensed financial advisor with Alexander Capital, L.P. FINRA reports that Michael Castillero was barred from the securities and investment banking industry in February 2019. ACCORDING TO FINRA: Michael Castillero consented to the sanction …

David Seigerman – Financial Advisor David Seigerman Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses  David Seigerman CRD #2200011 David Seigerman was previously licensed with Janney Montgomery Scott and Morgan Stanley. FINRA reports that David Seigerman was barred from the securities industry in November 2016. FINRA reports that David Seigerman failed to respond to FINRA …

Oscar Francis – Financial Advisor Oscar Francis Barred from Securities Industry by the SEC | Goodman & Nekvasil, P.A. May Recover Investor Losses Oscar Francis CRD #5094722 Oscar Francis was previously licensed with MML Investors Services, LLC from 2008 to 2017. The SEC reports that Oscar Francis was barred from the securities industry by the SEC in March 2019. The …

Goodman & Nekvasil P.A., May Recover Investor Losses | Gary Raymond Gray – Gary Gray, Financial Advisor Suspended from Securities Industry  Gary Raymond Gray was a formerly licensed financial advisor with Wells Fargo Clearing Services, LLC. FINRA reports that Gary Raymond Gray was suspended for 3 months in December 2017. ACCORDING TO FINRA: Gary Raymond Gray consented to the sanctions and to …

Goodman & Nekvasil P.A. May Recover Investor Losses | Gemini Fund Services, LLC  Securities and Exchange Commission Orders Cease and Desist According to the SEC, on January 22, 2018, the Commission instituted and simultaneously settled cease-and-desist proceedings (the “Order”) against Gemini Fund Services, LLC (“Gemini”), the fund administrator for a Massachusetts¬≠ based investment company called the GL Beyond Income Fund (the …

Jumio, Inc., SEC Imposes Sanctions on Former CFO | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Imposes Sanctions on Former CFO of Jumio, Inc. ACCORDING TO THE SEC: This matter involves Respondent Chad Starkey’s negligence in connection with a fraudulent scheme to provide false financial information to prospective investors in Jumio, Inc., a private, mobile payments …

Robert Todd Clark – Robert Clark, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses  Robert Todd Clark- Robert Clark – was previously licensed with Moors & Cabot, Inc. from 2013 to 2018. FINRA reports that Robert Todd Clark – Robert Clark- was barred from the securities industry in September 2018.  ACCORDING TO FINRA: Robert Todd …

Jimmy Moscoso, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses  Jimmy Moscoso CRD #2912265 Jimmy Moscoso was a previously licensed financial advisor with Lincoln Financial Advisors Corporation. FINRA reports that Jimmy Moscoso was barred from the securities and investment banking industry in February 2018. ACCORDING TO FINRA: Jimmy Moscoso consented to the sanction and to …

Goodman & Nekvasil P.A., May Recover Investor Losses | Richard Shotz, Financial Advisor Suspended from Securities Industry  Richard Shotz was a formerly licensed financial advisor with Wells Fargo Clearing Services, LLC and Morgan Stanley. FINRA reports that Richard Shotz was suspended for 4 months in February 2018. ACCORDING TO FINRA: Richard Shotz consented to the sanctions and to the entry of findings …