Goodman & Nekvasil P.A., May Recover Investor Losses | Adrian Torres Ortega (Adrian Ortega), Financial Advisor Barred from Securities Industry  Adrian Ortega was previously licensed with BBVA Securities, Inc. FINRA reports that Adrian Ortega was barred from the securities industry in April 2019. ACCORDING TO FINRA: Adrian Ortega consented to the sanction and to the entry of findings that he failed to …

Goodman & Nekvasil P.A., May Recover Investor Losses | Edward Earl Matthes – Edward Matthes, Financial Advisor Barred from Securities Industry  Edward Matthes was licensed with Mutual of Omaha Investor Services, Inc. from 2012 to 2019. FINRA reports that Edward Matthes was barred from the securities industry in March 2019. ACCORDING TO FINRA: Edward Matthes consented to the sanction and to …

Harold Couglar – Financial Advisor Harold Couglar Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Harold Couglar Financial Advisor CRD #1193367 Key Points Harold Couglar Barred from the Securities Industry by FINRA Harold Cougar Formerly Licensed with Montage Securities, Inc. Harold Couglar was licensed with Montage Securities, LLC from 2012 to 2017. FINRA reports that …

Goodman & Nekvasil P.A., May Recover Investor Losses | Frank Bazan – Financial Advisor Frank Bazan Suspended from Securities Industry  Frank Bazan Financial Advisor CRD #5593113 Frank Bazan was previously licensed with BBVA Securities, Inc. from 2013 to 2016. Frank Bazan consented to the sanctions and to the entry of findings that Frank Bazan failed to disclose that he was involved …

John Douglas Wade – John Wade, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses John Douglas Wade was a previously licensed financial advisor with U.S. Bancorp Investments, Inc. FINRA reports that John Douglas Wade was barred from the securities and investment banking industry in June 2018. ACCORDING TO FINRA: John Douglas Wade consented to …

Goodman & Nekvasil, P.A. May Recover Investor Losses | Kevin Woolf, CEO of Taylor Hotel Formerly Licensed with Morgan Stanley Barred from Securities Industry  Goodman & Nekvasil, P.A. may help investors recover monies that they lost on investments with Kevin Woolf. According to FINRA, Kevin Woolf was barred from the securities industry on January 26, 2018. FINRA reports that Kevin Woolf …

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 …