Goodman & Nekvasil P.A., May Recover Investor Losses | Juergen Weber, Financial Advisor Barred from Securities Industry by FINRA  Juergen Weber was previously licensed with Benjamin & Jerold Brokerage I, LLC. FINRA reports that Juergen Weber was barred from the securities industry in September 2018. According to FINRA: Juergen Weber consented to the sanction and to the entry of findings that Juergen …

Goodman & Nekvasil P.A., May Recover Investor Losses | Arthur Meunier, Financial Advisor Arthur Meunier Suspended from Securities Industry  Arthur Meunier CRD #5726300 Arthur Meunier was previously licensed with Morgan Stanley. According to FINRA: Arthur Meunier consented to the sanctions and to the entry of findings that he engaged in an outside business activity involving a blockchain technology. The findings stated …

Goodman & Nekvasil P.A., May Recover Investor Losses | William Brunner – Financial Advisor William Brunner Barred from Securities Industry William Brunner was previously licensed with Investment Planners, Inc. and First Midwest Securities, Inc. FINRA reports that William Brunner was barred from the securities industry in April 2018. ACCORDING TO FINRA: William Brunner consented to the sanction and to the entry of …

Goodman & Nekvasil P.A., May Recover Investor Losss | Gary Basralian, Financial Advisor Barred from Securities Industry Gary Basralian was licensed with Royal Alliance Associates, Inc. from 1989 until 2017. Royal Alliance Associates, Inc. reported to FINRA that Gary Basralian was permitted to resign on December 12, 2017. Royal Alliance Associates, Inc. reported to FINRA that a complaint was received alleging …

Goodman & Nekvasil, P.A. May Recover Losses | Hector May, Broker Pleads Guilty to Fraud Charges  Hector May was licensed with Securities America, Inc. from 1998 to 2018. Securities America, Inc. reported to FINRA that Hector May was discharged from Securities America, Inc on March 9, 2018. Securities America, Inc. reports that Hector May allegedly misappropriated client assets. The SEC filed …

Goodman & Nekvasil P.A. May Recover Investor Losses | Cornelius Peterson Charged by SEC SEC Charges Cornelius Peterson The Securities and Exchange Commission announced today the entry of a final judgment against Cornelius Peterson, a former investment adviser at a large financial institution who was charged with misappropriating client funds. On January 31, 2018, the Commission filed a complaint in the …

Goodman & Nekvasil P.A. May Recover Investor Losses | James Polese Charged by SEC SEC Charges James Polese The Securities and Exchange Commission (“Commission”) charged two Boston-area investment advisers, one of them being James Polese, with defrauding multiple clients by stealing nearly half a million dollars of client assets, along with other breaches of their fiduciary duty. According to the SEC, in …

Goodman & Nekvasil, P.A., Recovering Investor Losses – All American Oil & Gas, Inc. Bankruptcy  Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments, including All American Oil & Gas, Inc. Even though high yield or junk bonds, notes, …

Jennifer Ling – Customer Disputes Filed Involving Financial Advisor/Broker Jennifer Ling | Goodman & Nekvasil, P.A. May Recover Investor Losses Jennifer Ling CRD #3277203 Jennifer Ling was a previously licensed financial advisor with Axiom Capital Management, Inc. from 2015 to 2017. Jennifer Ling has also been associated with GPS Capital Management, LLC.  FINRA reports that two arbitration claims and/or complaints …

Goodman & Nekvasil P.A., May Recover Investor Losses | Terrence Puricelli, Financial Advisor Barred from Securities Industry  Terrence Puricelli was a formerly licensed financial advisor with Wells Fargo Advisors, LLC from 2011 to 2016. FINRA reports that Terrence Puricelli was discharged from Wells Fargo Advisors, LLC on August 25, 2016. Wells Fargo Advisors, LLC reported to FINRA that Terrence Puricelli’s discharge …