Goodman & Nekvasil P.A., May Recover Investor Losses | Gary Raymond Gray – Gary Gray, Financial Advisor Suspended from Securities Industry  Gary Raymond Gray was a formerly licensed financial advisor with Wells Fargo Clearing Services, LLC. FINRA reports that Gary Raymond Gray was suspended for 3 months in December 2017. ACCORDING TO FINRA: Gary Raymond Gray consented to the sanctions and to …

Goodman & Nekvasil P.A. May Recover Investor Losses | Gemini Fund Services, LLC  Securities and Exchange Commission Orders Cease and Desist According to the SEC, on January 22, 2018, the Commission instituted and simultaneously settled cease-and-desist proceedings (the “Order”) against Gemini Fund Services, LLC (“Gemini”), the fund administrator for a Massachusetts¬≠ based investment company called the GL Beyond Income Fund (the …

Jumio, Inc., SEC Imposes Sanctions on Former CFO | Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Imposes Sanctions on Former CFO of Jumio, Inc. ACCORDING TO THE SEC: This matter involves Respondent Chad Starkey’s negligence in connection with a fraudulent scheme to provide false financial information to prospective investors in Jumio, Inc., a private, mobile payments …

Robert Todd Clark – Robert Clark, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses  Robert Todd Clark- Robert Clark – was previously licensed with Moors & Cabot, Inc. from 2013 to 2018. FINRA reports that Robert Todd Clark – Robert Clark- was barred from the securities industry in September 2018.  ACCORDING TO FINRA: Robert Todd …

Jimmy Moscoso, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses  Jimmy Moscoso CRD #2912265 Jimmy Moscoso was a previously licensed financial advisor with Lincoln Financial Advisors Corporation. FINRA reports that Jimmy Moscoso was barred from the securities and investment banking industry in February 2018. ACCORDING TO FINRA: Jimmy Moscoso consented to the sanction and to …

Goodman & Nekvasil P.A., May Recover Investor Losses | Richard Shotz, Financial Advisor Suspended from Securities Industry  Richard Shotz was a formerly licensed financial advisor with Wells Fargo Clearing Services, LLC and Morgan Stanley. FINRA reports that Richard Shotz was suspended for 4 months in February 2018. ACCORDING TO FINRA: Richard Shotz consented to the sanctions and to the entry of findings …

Goodman & Nekvasil P.A., May Recover Investor Losses | Juergen Weber, Financial Advisor Barred from Securities Industry by FINRA  Juergen Weber was previously licensed with Benjamin & Jerold Brokerage I, LLC. FINRA reports that Juergen Weber was barred from the securities industry in September 2018. According to FINRA: Juergen Weber consented to the sanction and to the entry of findings that Juergen …

Goodman & Nekvasil P.A., May Recover Investor Losses | Arthur Meunier, Financial Advisor Arthur Meunier Suspended from Securities Industry  Arthur Meunier CRD #5726300 Arthur Meunier was previously licensed with Morgan Stanley. According to FINRA: Arthur Meunier consented to the sanctions and to the entry of findings that he engaged in an outside business activity involving a blockchain technology. The findings stated …

Goodman & Nekvasil P.A., May Recover Investor Losses | William Brunner – Financial Advisor William Brunner Barred from Securities Industry William Brunner was previously licensed with Investment Planners, Inc. and First Midwest Securities, Inc. FINRA reports that William Brunner was barred from the securities industry in April 2018. ACCORDING TO FINRA: William Brunner consented to the sanction and to the entry of …

Goodman & Nekvasil P.A., May Recover Investor Losss | Gary Basralian, Financial Advisor Barred from Securities Industry Gary Basralian was licensed with Royal Alliance Associates, Inc. from 1989 until 2017. Royal Alliance Associates, Inc. reported to FINRA that Gary Basralian was permitted to resign on December 12, 2017. Royal Alliance Associates, Inc. reported to FINRA that a complaint was received alleging …