Stephen Schwartz – Arbitration Claims Filed Involving Financial Advisor Stephen Schwartz | Goodman & Nekvasil, P.A. May Recover Investor Losses Stephen Schwartz CRD #869346 Since June 2002, Stephen Schwartz has been licensed with Herbert J. Sims & Co. Inc. FINRA reports that an arbitration claim has been filed, alleging that Stephen Schwartz breached Stephen Schwartz’s fiduciary duty to recommend an …
BRIAN CHRISTOPHER KUTSMEDA – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – BRIAN CHRISTOPHER KUTSMEDA FINRA reports that an arbitration claim has been filed, alleging that Brian Kutsmeda failed to train, supervise, and oversee his FA who is alleged to have excessively traded UITS in his account from Nov. 2013 to Jan. 2015. The alleged damages in this pending arbitration claim involving Brian …
CHARLES EDWARD HOWELL FORMERLY LICENSED WITH PROEQUITIES, INC. – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – CHARLES EDWARD HOWELL FORMERLY LICENSED WITH PROEQUITIES, INC. From 2010 to 2016, Charles Howell was licensed with Proequities, Inc. Charles Howell is now licensed with Bankers Life Securities, Inc. FINRA reports that an arbitration claim was filed during Charles Howell’s employment with Proequities, Inc., alleging that Charles Howell made unsuitable investments, overconcentrated …
Xavier Patino, Financial Advisor Discharged from JP Morgan Securities LLC
Goodman & Nekvasil May Recover Investor Losses | Xavier Patino, Financial Advisor Discharged from J.P. Morgan Securities LLC From 2012 until his firing in 2017, Xavier Patino was licensed with J.P. Morgan Securities LLC. Xavier Patino is now licensed with Newbridge Securities Corporation. According to FINRA’s records, Xavier Patino was fired by J.P. Morgan Securities LLC on April 20, 2017. J.P. …
PAUL W. EDWARDS LICENSED WITH NYLIFE SECURITIES, LLC – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – PAUL W. EDWARDS, NYLIFE SECURITIES, LLC Since August 2012, Paul Edwards has been licensed with NYLIFE Securities, LLC. FINRA reports that an arbitration claim has been filed during Paul Edwards’ employment with NYLIFE Securities, LLC, alleging that Paul Edwards made two fixed annuity purchases in December 2016 that were not in …
CRAIG D. DANIEL PRICE FIRED BY UBS FINANCIAL SERVICES, INC. – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – CRAIG D. DANIEL PRICE FIRED BY UBS FINANCIAL SERVICES, INC. From 2000 until his firing in 2016, Craig Price was licensed with UBS Financial Services, Inc. According to FINRA’s records, Craig Price was fired by UBS Financial Services, Inc. on Feb. 29, 2016. UBS Financial Services, Inc. reported to FINRA that Craig …
Kevin Moran – Financial Advisor Kevin Moran Discharged from Firm
Goodman & Nekvasil, PA May Recover Investor Losses | Kevin Moran – Financial Advisor Kevin Moran Discharged from Firm Kevin Moran CRD #4321460 From 2009 until his firing in 2017, Kevin Moran was licensed with Ameriprise Financial Services, Inc. Kevin Moran is now licensed with International Assets Advisory, LLC. According to FINRA’s records, Kevin Moran was fired by Ameriprise Financial Services, …
Jeffrey Fladell – Customer Disputes Filed Involving Financial Advisor/Broker | Recover Investment Losses
Jeffrey Fladell – Customer Disputes Filed Involving Financial Advisor/Broker | Goodman & Nekvasil P.A. May Recover Investor Losses Jeffrey Fladell a/k/a Jeffrey Alan Fladell CRD #209278 Jeffrey Fladell a/k/a Jeffrey Alan Fladell is a previously licensed financial advisor with RBC Capital Markets, LLC. According to Jeffrey Fladell’s BrokerCheck Report: Customer Dispute 3/20/19: Claimants allege they were over concentrated and invested …
DAVID WAYNE KRAFT, MORGAN STANLEY- GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES
GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – DAVID WAYNE KRAFT, MORGAN STANLEY Since July 2012, David Kraft has been licensed with Morgan Stanley. FINRA reports that an arbitration claim has been filed during David Kraft’s employment with Morgan Stanley Smith Barney, alleging that David Kraft made misrepresentations with respect to mutual fund investments in an account. This claim …
David Fagenson – Financial Advisor/Broker David Fagenson Fired by UBS Financial Services, Inc.
David Fagenson – Financial Advisor/Broker David Fagenson Fired by UBS Financial Services, Inc. | Goodman & Nekvasil P.A May Recover Investor Losses David Fagenson CRD #1652012 From 2010 until his firing in 2016, David Fagenson was licensed with UBS Financial Services, Inc. David Fagenson is currently licensed with Newbridge Securities Corporation. According to FINRA’s records, David Fagenson was fired by UBS …