Goodman & Nekvasil P.A., May Recover Investor Losses | Ricardo Estrada, Financial Advisor Suspended from Securities Industry  Ricardo Estrada was previously licensed with MML Investors Services, LLC from 2014 to 2017. Ricardo Estrada consented to the sanctions and to the entry of findings that Ricardo Estrada engaged in an outside business activity without seeking prior approval from his member firm. ACCORDING …

Goodman & Nekvasil P.A., May Recover Investor Losses | Scott Donato, Financial Advisor Barred from Securities Industry  Scott Donato was a previously licensed financial advisor with Morgan Stanley. Scott Donato was barred from the securities and investment banking industry in March 2019. FINRA reports that Scott Donato failed to respond to FINRA request for information. FINRA reports that 3 customer disputes …

Goodman & Nekvasil P.A., May Recover Investor Losses | Kenneth Stewart Tyrrell (Ken Tyrrell), Financial Advisor Barred from Securities Industry  Ken Tyrrell was a previously licensed financial advisor with Cary Street Partners and UBS Financial Services, Inc. FINRA reports that Ken Tyrrell was barred from the securities and investment banking industry in December 2017. ACCORDING TO FINRA: Tyrrell consented to the sanction …

Goodman & Nekvasil P.A., May Recover Investor Losses | Scott Jason Wallach – Scott Wallach, Financial Advisor Suspended from Securities Industry Scott Wallach is a financial advisor who has been licensed with APW Capital, Inc. since 2017. Scott Wallach was previously licensed with Wells Fargo Clearing Services, LLC. FINRA reports that Scott Wallach was suspended from the securities and investment …

Goodman & Nekvasil P.A., May Recover Investor Losses | Larry Martin Boggs – Larry Boggs, Financial Advisor Barred from Securities Industry Larry Boggs was previously licensed with Wedbush Securities, Inc. and Ameriprise Financial Services, Inc. FINRA reports that Larry Boggs was barred from the securities industry in January 2018. ACCORDING TO FINRA: Larry Boggs consented to the sanctions and to the entry …

Goodman & Nekvasil P.A., May Recover Investor Losses | William Glenn Downing – Bill Downing, Financial Advisor Barred from Securities Industry  Bill Downing was previously licensed with Coastal Equities, Inc. and J.W. Cole Financial, Inc. FINRA reports that Bill Downing was barred from the securities industry on August 20, 2018.   ACCORDING TO FINRA: Bill Downing failed to respond to FINRA request …

Goodman & Nekvasil P.A., May Recover Investor Losses | Jermaine Joseph – Jermaine Doral Joseph, Financial Advisor Barred from Securities Industry by FINRA  Jermaine Joseph was previously licensed with PFS Investments, Inc. FINRA reports that Jermaine Joseph was barred from the securities industry in December 2017. According to FINRA: Jermaine Joseph consented to the sanction and to the entry of findings that …

Michael Castillero – Financial Advisor Michael Castillero Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Castillero CRD #4583917 Michael Castillero was a previously licensed financial advisor with Alexander Capital, L.P. FINRA reports that Michael Castillero was barred from the securities and investment banking industry in February 2019. ACCORDING TO FINRA: Michael Castillero consented to the sanction …

David Seigerman – Financial Advisor David Seigerman Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses  David Seigerman CRD #2200011 David Seigerman was previously licensed with Janney Montgomery Scott and Morgan Stanley. FINRA reports that David Seigerman was barred from the securities industry in November 2016. FINRA reports that David Seigerman failed to respond to FINRA …

Oscar Francis – Financial Advisor Oscar Francis Barred from Securities Industry by the SEC | Goodman & Nekvasil, P.A. May Recover Investor Losses Oscar Francis CRD #5094722 Oscar Francis was previously licensed with MML Investors Services, LLC from 2008 to 2017. The SEC reports that Oscar Francis was barred from the securities industry by the SEC in March 2019. The …