GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – JAMES LEBARON SPRINGER FIRED BY UBS FINANCIAL SERVICES, INC. From 2002 until James Springer’s firing in 2014, James Springer was licensed with UBS Financial Services, Inc. James Springer is now licensed with Stifel, Nicolaus & Company, Incorporated. According to FINRA records, James Springer was fired by UBS Financial Services, Inc. on …
Izzy Shefer, Arbitration Claims Filed Against Financial Advisor
Izzy Shefer, Arbitration Claims Filed Against Financial Advisor | Goodman & Nekvasil, P.A. May Recover Investor Losses Izzy Shefer, Izhar Shefer CRD #1759498 From 2011 to 2017, Izzy Shefer was licensed with Morgan Stanley. FINRA reports that three arbitration claims have been filed during Izzy Shefer’s employment with Morgan Stanley, alleging unsuitable investments, misrepresentation of an unsuitable trading strategy, and/or unauthorized …
Martin Waldman – Arbitration Claim Filed Involving Financial Advisor Martin Waldman
Martin Waldman – Arbitration Claim Filed Involving Financial Advisor Martin Waldman | Goodman & Nekvasil, PA May Recover Investor Losses Martin Waldman CRD #4566228 Since May 2009, Martin Waldman has been licensed with Raymond James & Associates, Inc. FINRA reports that an arbitration claim was filed during Martin Waldman’s employment with Raymond James & Associates, Inc. alleging overconcentration, suitability, breach …
JOHN WILLIAM SEWELL JR. LICENSED WITH G.A. REPPLE & COMPANY – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES ON CHURCH BONDS
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES ON CHURCH BONDS – JOHN WILLIAM SEWELL JR. LICENSED WITH G.A. REPPLE & COMPANY Since May 2006, John Sewell, Jr. has been licensed G.A. Repple & Company. FINRA reports that an arbitration claim has been filed during John Sewell, Jr.’s employment with G.A. Repple & Company, alleging unsuitability, misrepresentation, material omission, breaches …
ANDREW RAYMOND SCHEIRER II FORMERLY LICENSED WITH ALLIED SECURITIES, INC. – GOODMAN & NEKVASIL P.A. FILES ARBITRATION CLAIM ON FISKER AUTOMOTIVE BANKRUPTCY
GOODMAN & NEKVASIL P.A, FILES ARBITRATION CLAIM ON FISKER AUTOMOTIVE BANKRUPTCY – ANDREW RAYMOND SCHEIRER II FORMERLY LICENSED WITH FIRST ALLIED SECURITIES, INC. Goodman & Nekvasil, P.A. has filed an arbitration claim against First Allied Securities, Inc. seeking to recover monies lost by an investor in Fisker Automotive. From 2007 until Andrew Scheirer II’s resignation in 2014, Andrew Scheirer …
MITCHELL BRIAN WALK LICENSED WITH KESTRA INVESTMENT SERVICES, LLC – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – MITCHELL BRIAN WALK LICENSED WITH KESTRA INVESTMENT SERVICES, LLC Since January 2001, Mitchell Walk has been licensed with Kestra Investment Services, LLC. FINRA reports that two arbitration claims have been filed, alleging that Mitchell Walk made unsuitable investment recommendations which Kestra Investment Services, LLC failed to supervise and/or alleges misrepresentations and other …
Felipe Arrieta – Arbitration Claim Filed Involving Financial Advisor Felipe Arrieta
Felipe Arrieta – Arbitration Claim Filed Involving Financial Advisor Felipe Arrieta | Goodman & Nekvasil, P.A. May Recover Investor Losses Felipe Arrieta Financial Advisor CRD #4142123 From 2014-2016, Felipe Arrieta worked for Revere Securities, LLC. Felipe Arrieta now works for Dakota Securities International, Inc. and previously worked for Westpark Capital, Inc., and Bolton Global Capital. FINRA reports that an arbitration …
Kevin Snow – Financial Advisor Kevin Snow Fired by LaSalle St. Securities
Goodman & Nekvasil, P.A. May Recover Investor Losses | Kevin Snow – Financial Advisor Kevin Snow Fired by LaSalle St. Securities Kevin Snow CRD #2903937 Kevin Snow was licensed with Lasalle St. Securities, L.L.C. from July 2016 until he was fired in March 2017. Kevin Snow is now licensed with Peak Brokerage Services, LLC. According to FINRA’s records, Kevin Snow …
Gregory Barr – Financial Advisor Gregory Barr Discharged from Firm
Goodman & Nekvasil, P.A. May Recover Investor Losses | Gregory Barr – Financial Advisor Gregory Barr Discharged from Firm Gregory Barr CRD #1312703 From 2014 until his firing in 2016, Gregory Barr worked for Raymond James & Associates, Inc. According to FINRA’s records, Gregory Barr was fired by Raymond James & Associates on June 30, 2016. Raymond James & Associates, Inc. …
MIGUEL ANDRES BALLESTAS FIRED BY MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – MIGUEL ANDRES BALLESTAS FIRED BY MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED From 1988 until his firing in 2014, Miguel Ballestas was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Miguel Ballestas is currently licensed with Bolton Global Capital. According to FINRA records, Miguel Ballestas was fired by Merrill Lynch, Pierce, …