Goodman & Nekvasil P.A., May Recover Investor Losses on Woodbridge Mortgage Investment Funds | David Ferwerda, Financial Advisor Barred from Securities Industry David Ferwerda was licensed with Signator Investors, Inc. from 2012 to 2018. FINRA reports that David Ferwerda was discharged from Signator Investors, Inc. on March 20, 2018. Signator Investors, Inc. reported to FINRA that David Ferwerda was allegedly involved …

Goodman & Nekvasil P.A. Has Filed Claims on Behalf of Investors in Woodbridge Mortgage Investment Funds | Donna Barnard Formerly Licensed Financial Advisor Donna Barnard was a Formerly Licensed Financial Advisor with HD Vest Investment Services (2014-2017), Signal Securities, Inc. (2013-2014) and Woodmen Financial Services, Inc. (2011-2012). Donna Barnard was a business partner of Jerry Raines and they jointly also operated …

Goodman & Nekvasil P.A., May Recover Investor Losses | James Flynn (Jim Flynn) Fired by Voya Financial Advisors, Inc. From May 2013 until James Flynn’s (Jim Flynn’s) firing in February 2017, James Flynn (Jim Flynn) was licensed with Voya Financial Advisors, Inc. James Flynn (Jim Flynn) is now licensed with  IFS Securities and was previously licensed with Capital Investment Group, …

Goodman & Nekvasil P.A. May Recover Investor Losses | DMS Funds, DMS Advisors Charged by the SEC Securities and Exchange Commission Charges DMS Funds, DMS Advisors According to the SEC, DMS Advisors is a Pennsylvania corporation with its principal place of business in Leesport, Pennsylvania. According to the SEC, Peter R. Kohli (“Kohli”) is the president and CEO of DMS Advisors. …

Goodman & Nekvasil P.A. May Recover Investor Losses | Marshad Capital Group Charged by the SEC Securities and Exchange Commission Charges Marshad Capital Group The SEC’s complaint, filed in federal court in Philadelphia, Pennsylvania, alleges that, from 2012 through 2015, Peter R. Kohli, of Pottstown, Pennsylvania, fraudulently raised more than $3.2 million from at least 120 investors. The complaint alleges that, …

Goodman & Nekvasil P.A., May Recover Investor Losses | David Colflesh, Financial Advisor Suspended from Securities Industry David Colflesh was a formerly licensed financial advisor with NYLife Securities LLC from 1983 to 2016. David Colflesh was suspended for 18 months from the securities and investment banking industry on October 26, 2018. FINRA reports that David Colflesh consented to the sanction and …

Goodman & Nekvasil P.A., May Recover Investor Losses | Judith Bufis – Financial Advisor Judith Bufis Barred from Securities Industry  Judith Bufis aka Judith Burmistrenko Judith Bufis was a formerly licensed financial advisor with Kovack Securities, Inc., Invest Financial Corporation, IFS Securities and TFS Securities, Inc. Judith Bufis (Judith Burmistrenko) was barred from the securities and investment banking industry on October …

Goodman & Nekvasil P.A., May Recover Investor Losses | Bruce Plyer, Financial Advisor Barred from Securities Industry Bruce Plyer was a formerly licensed financial advisor with Morgan Stanley from 2009 to 2016. FINRA reports that Bruce Plyer was discharged from Morgan Stanley on November 28, 2016. Morgan Stanley reported to FINRA that Bruce Plyer allegedly executed trades in clients’ accounts without …

Goodman & Nekvasil P.A., May Recover Investor Losses | Sean Brady, Financial Advisor Barred from Securities Industry From 2008 until Sean Brady’s discharge in 2017, Sean Brady was licensed with First Allied Securities, Inc. According to FINRA’s records, Sean Brady was discharged from First Allied Securities, Inc. on October 20, 2017. First Allied Securities, Inc. reported to FINRA that Sean Brady …

Thomas Logue – Financial Advisor Thomas Logue Barred From Securities Industry | Goodman & Nekvasil, PA May Recover Investor Losses Thomas Logue CRD #1700554 Thomas Logue was a licensed financial advisor with American Independent Securities Group, LLC from 2014 to 2017. Thomas Logue was previously licensed with Investors Capital Corp. from 2011 to 2014. Thomas Logue was barred from the securities and …