GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – RICARDO SANCHEZ LICENSED WITH PFS INVESTMENTS, INC. Since August 2000, Ricardo Sanchez has been licensed with PFS Investments, Inc. FINRA reports that two arbitration claims have been filed during Ricardo Sanchez’s employment with PFS Investments, Inc. alleging that Ricardo Sanchez made misstatements related to an employee’s decision to transfer from a …

John Eads – Arbitration Claim Filed Involving Financial Advisor/Broker John Eads | Goodman & Nekvasil P.A. May Recover Investor Losses John Eads CRD #2764843 Since November 2009, John Eads has been licensed with AXA Advisors, LLC. FINRA reports that an arbitration claim has been filed while John Eads was licensed with AXA Advisors, LLC, alleging that John Eads made unsuitable …

Gary Guglielmo – Arbitration Claim Filed Involving Financial Advisor Gary Guglielmo | Goodman & Nekvasil, P.A. May Recover Investor Losses Gary Guglielmo CRD #2759496 Since June 2009, Gary Guglielmo has been licensed with Morgan Stanley. FINRA reports that an arbitration claim has been filed while Gary Guglielmo’s was licensed with Morgan Stanley alleging that Gary Guglielmo traded excessively in a …

RONALD ARTHUR CHRISTOPHER JR., – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES FINRA reports that an arbitration claim has been filed, alleging that Ronald Christopher Jr. made unsuitable investments, was negligent, and breached fiduciary duty. The alleged damages in this pending arbitration claim involving Ronald Christopher Jr. is for $400,000. If you lost any money on investments with Ronald …

GREGORY SCOTT BREEN LICENSED WITH MORGAN STANLEY – GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES Since June 2009, Gregory Breen has been licensed with Morgan Stanley. FINRA reports that an arbitration claim has been filed while Gregory Breen’s was licensed with Morgan Stanley, alleging that Gregory Breen made unsuitable recommendations and traded excessively to generate commissions. The alleged damages …

GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – OWEN FINNEL DUDLEY FIRED BY WELLS FARGO ADVISORS, LLC   From 2008 until his firing in 2012, Owen Dudley was licensed with Wells Fargo Advisors, LLC. According to FINRA’s records, Owen Dudley was fired by Wells Fargo Advisors, LLC on January 17, 2012. Wells Fargo Advisors, LLC reported to FINRA that …

Goodman & Nekvasil, P.A. May Recover Investor Losses | Charles Wallace – Financial Advisor Charles Wallace Discharged from Firm Charles Wallace CRD #2232489 From 2009 until his firing in 2013, Charles Wallace was licensed with Morgan Stanley. Charles Wallace is now licensed with Oppenheimer & Co. Inc. According to FINRA records, Charles Wallace was fired by Morgan Stanley Wealth Management on …

Mark Renz – Financial Advisor Mark Renz Discharged from Firm | Goodman & Nekvasil, P.A. May Recover Investor Losses Mark Renz CRD #2606707 From 2010 until his firing in 2012, Mark Renz was licensed with Citigroup Global Markets, Inc. Mark Renz was then licensed with LPL Financial LLC from October 2012 until April 2014. According to FINRA’s records, Mark Renz was fired …

GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – SAUL JOSEPH ROSEN LICENSED WITH FMSBONDS, INC.  Since November 1997, Saul Rosen has been licensed with FMSBonds, Inc. FINRA reports that an arbitration claim against Saul Rosen and FMSBonds, Inc. was filed in February 2015. The claimant alleged breach of fiduciary duty, negligence, negligent misrepresentations and omissions, mismarking of order tickets, …

GOODMAN & NEKVASIL P.A, MAY RECOVER INVESTOR LOSSES – HOWARD LESTER SCHWARTZ FIRED BY RAYMOND JAMES FINANCIAL SERVICES, INC. From 2002 until his firing in 2013, Howard Schwartz was licensed with Raymond James Financial Services, Inc. According to FINRA’s records, Howard Schwartz was fired by Raymond James Financial Services, Inc. on August 9, 2013. Raymond James Financial Services, Inc. reported to …