Goodman & Nekvasil P.A., May Recover Investor Losses | Jim Young, Financial Advisor Jim Young Barred from the Securities Industry Jim Young aka James Arthur Young III CRD #4205459 -Investor Update- Jim Young was arraigned in U.S. District Court in Pensacola after a federal grand jury returned an indictment charging Jim Young with two counts of wire fraud and three …
Larry Templin – Financial Advisor Barred from Securities Industry
Larry Templin – Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Larry Templin CRD #2440316 Larry Templin was a formerly licensed financial advisor with Centaurus Financial, Inc. from 2006 to 2018 in Temple, Texas. FINRA reports that Larry Templin was discharged from Centaurus Financial on May 31, 2018. Centaurus Financial, Inc. reported to FINRA …
Leona Parsons – Financial Advisor Leona Parsons Barred from Securities Industry
Goodman & Nekvasil P.A., May Recover Investor Losses | Leona Parsons – Financial Advisor Leona Parsons Barred from Securities Industry Leona Parsons CRD #6164352 Leona Parsons was a previously licensed financial advisor with J.P. Morgan Securities LLC. FINRA reports that Leona Parsons was barred from the securities and investment banking industry in May 2018. ACCORDING TO FINRA: Leona Parsons consented to the …
Cindy Chiellini – Customer Disputes Filed Alleging Sales Practice Violations Against Cindy Chiellini
Cindy Chiellini – 14 Customer Disputes Filed Alleging Sales Practice Violations Against Cindy Chiellini | Goodman & Nekvasil, P.A. May Recover Investor Losses Cindy Chiellini CRD #1015592 Cindy Chiellini has been licensed with Centaurus Financial, Inc. since 2015. According to Cindy Chiellini’s CRD, Cindy Chiellini has 12 pending customer disputes relating to Cindy Chiellini’s conduct with J.P. Turner & Co. and/or …
Joel Flaningan – Financial Advisor Joel Flaningan Barred from Securities Industry
Joel Flaningan – Financial Advisor Joel Flaningan Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Joel Flaningan CRD #5664958 Joel Flaningan was a licensed financial advisor with NYLife Securities LLC from 2010 to 2018. Joel Flaningan sold the fraudulent Woodbridge Mortgage Investment Fund to at least some of Joel Flaningan’s clients. FINRA reports that Joel …
Matthew Buchsbaum, Arbitration Claims Filed Against Financial Advisor Matthew Buchsbaum | Recover Investment Losses
Matthew Buchsbaum – Arbitration Claims Filed Involving Financial Advisor/Broker Matthew Buchsbaum | Goodman & Nekvasil P.A., May Recover Losses Matthew Buchsbaum CRD #2220565 Matthew Buchsbaum has been a licensed financial advisor/broker with UBS Financial Services, Inc. since 2015. Matthew Buchsbaum was previously licensed with Credit Suisse Securities (USA) LLC. According to Matthew Buchsbaum’s CRD, six customer disputes alleging sales practice …
GPB Capital Holdings Under Investigation by SEC, FBI, FINRA and State of Massachusetts | Goodman & Nekvasil P.A. May Recover Investor Losses
GPB Capital Holdings Under Investigation by SEC, FBI, FINRA and State of Massachusetts | Goodman & Nekvasil P.A. May Recover Investor Losses CONTACT US AT 1-800-500-4442 FOR A FREE CONSULTATION InvestmentNews reports that Massachusetts Secretary of the Commonwealth William Galvin, announced a sweeping investigation into 63 broker-dealer firms selling private placements from GPB Capital Holdings. InvestmentNews further reports that two …
Darrell Rideaux, Financial Advisor Darrell Rideaux is Barred from Securities Industry
Darrell Rideaux, Financial Advisor Darrell Rideaux is Barred from Securities Industry – Goodman & Nekvasil P.A., has Filed an Arbitration Claim Darrell Rideaux CRD #5211032 FINRA barred California broker Darrell Rideaux following an investigation into allegations that Darrell Rideaux solicited private placement investments away from Morgan Stanley, Darrell Rideaux’s firm at the time of the purported misconduct. Additionally, FINRA opted …
Michael Bastardi, Arbitration Claim Filed Against Financial Advisor Michael Bastardi
Michael Bastardi, Arbitration Claim Filed Against Financial Advisor Michael Bastardi | Goodman & Nekvasil P.A, May Recover Investor Losses Michael Bastardi CRD #6015424 Michael Bastardi has been previously licensed with Chelsea Financial Services, National Securities Corporation, Securities America, Inc., Cape Securities Inc. and Dalton Strategic Investment Services Inc. An arbitration claim involving Michael Bastardi’s conduct has been filed alleging that from …
Gabe Block, Financial Advisor Gabe Block Suspended from Securities Industry
Gabe Block, Financial Advisor Gabe Block Suspended from Securities Industry | Goodman & Nekvasil P.A, May Recover Investor Losses Gabe Block, Gabriel Block CRD #2103543 Gabe Block has been licensed with First Standard Financial Company LLC since 2016. Gabe Block was previously licensed with National Securities Corporation and Oppenheimer & Co. Inc. FINRA reports that two arbitration claims involving Gabe Block’s conduct …