Goodman & Nekvasil P.A., May Recover Investor Losses | William Upchurch Jr, Financial Advisor Barred from Securities Industry William Upchurch was a formerly licensed financial advisor with PFS Investments, Inc. from 1983 to 2015. FINRA reports that William Upchurch was discharged from PFS Investments, Inc. on May 12, 2015. PFS Investments, Inc. reported to FINRA that William Upchurch allegedly sold fictitious …

Goodman & Nekvasil P.A., May Recover Investor Losses | Frank Zito, Financial Advisor Discharged from Merrill Lynch  Frank Zito was a formerly licensed financial advisor with Merrill Lynch from 2010 to 2018. FINRA reports that Frank Zito was discharged from the securities and investment banking industry on June 25, 2018. Merrill Lynch reported to FINRA that Frank Zito allegedly failed to …

Goodman & Nekvasil P.A., May Recover Investor Losses | Stephen Coupe, Financial Advisor Stephen Coupe  Fined by State of Washington Securities Division Stephen Coupe CRD #2061979 From 2008 until Stephen Coupe’s discharge in 2017, Stephen Coupe was licensed with First Allied Securities, Inc. According to FINRA’s records, Stephen Coupe was discharged from First Allied Securities on April 12, 2017. First Allied …

Goodman & Nekvasil P.A. May Recover Investor Losses | Matthew Woodard, Formerly Licensed Financial Advisor Barred from Securities Industry by SEC  Securities and Exchange Commission Bars Matthew Woodard, Formerly Licensed Financial Advisor The SEC reports that from September 12, 2013 through August 18, 2014, Matthew Woodard was an associated person and registered representative of ProEquities, Inc. (“ProEquities”), which is dually registered with …

Charles Stivers, Formerly Licensed Financial Advisor Admits to Violating Colorado Securities Act | Goodman & Nekvasil P.A. May Recover Investor Losses Colorado Securities Division Sanctions Charles Stivers Colorado Securities Commissioner Gerald Rome signed a cease and desist order today after Charles Stivers admitted to violating the Colorado Securities Act through the pursuit of investments in his company, Aim High Holdings, …

Goodman & Nekvasil P.A., May Recover Investor Losses | Robert Roach III, FINRA Investigation Pending Against Financial Advisor  From 2007 until Robert Roach’s discharge in 2018, Robert Roach was licensed with Raymond James Financial Services, Inc. According to FINRA’s records, Robert Roach was discharged from Raymond James Financial Services Advisors, Inc. on May 7, 2018. Raymond James Financial Services Advisors, Inc. …

Goodman & Nekvasil P.A. May Recover Investor Losses | Sean Kelly and Lion’s Share, SEC Alleges Fraud Securities and Exchange Commission Alleges that Sean Kelly and Lion’s Share are Involved in a Fraudulent Scheme -Update 2-25-20-  Goodman & Nekvasil, P.A. has filed an arbitration claim against Capital Financial Services, Inc. involving the sale of Shopoff Funds and GPB Capital.  Sean Kelly …

Goodman & Nekvasil P.A., May Recover Investor Losses | Douglas Simanski, Financial Advisor Douglas Simanski Barred from Securities Industry Douglas Simanski Financial Advisor CRD #2606998 Douglas Simanski was a formerly licensed financial advisor with Next Financial Group, Inc. from 1999 to 2016. FINRA reports that Douglas Simanski was discharged from Next Financial Group, Inc. on May 17, 2016. Next Financial …

Goodman & Nekvasil P.A., May Recover Investor Losses | Jon Pariser, Financial Advisor Barred from Securities Industry Jon Pariser was a formerly licensed financial advisor with Independent Financial Group, LLC from 2014 to 2018 and SWS Financial Services, Inc. from 2013 to 2014. FINRA reports that Jon Pariser was discharged from SWS Financial Services, Inc. on June 20, 2014. SWS Financial …

Goodman & Nekvasil, P.A. May Recover Investor Losses | Gastar Exploration Inc. Files for Chapter 11 Bankruptcy Gastar Exploration Inc. and its wholly-owned subsidiary, Northwest Property Ventures LLC (collectively, “Gastar” or the “Company”), has made the decision to reorganize under chapter 11 of the Bankruptcy Code. Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing …