Goodman & Nekvasil P.A., May Recover Investor Losses | Dan Pugel – Daniel Edward Pugel, Financial Advisor Resigned from Firm Dan Pugel was a formerly licensed financial advisor with LPL Financial LLC in Seattle, Washington. LPL Financial LLC reported to FINRA that Dan Pugel resigned on March 20, 2017. LPL Financial LLC reported to FINRA that Dan Pugel allegedly violated investment-related …

Goodman & Nekvasil P.A., May Recover Investor Losses | Peter Cunningham, Sanctions Sought by State of Massachusetts against Financial Advisor Peter Cunningham Peter Cunningham CRD #2400211 Peter Cunningham is a currently licensed financial advisor with Stockcross Financial Services, Inc. in Beverly Hills, CA. The Massachusetts Securities Division reported to FINRA that they are seeking sanctions against Peter Cunningham. The Massachusetts Securities …

Goodman & Nekvasil P.A., May Recover Investor Losses | Dexter Thomas – Financial Advisor Dexter Thomas Discharged from Firm  Dexter Thomas Financial Advisor CRD #1074222 Dexter Thomas was a formerly licensed financial advisor with United Planners’ Financial Services of America, LPL Financial LLC and National Planning Corporation in Dallas, Texas. United Planners Financial Services of America reported to FINRA that Dexter …

Goodman & Nekvasil P.A., May Recover Investor Losses | Jim Bylenga, Financial Advisor Barred from Securities Industry Jim Bylenga was a previously licensed financial advisor with LPL Financial LLC and Comerica Securities in Portage and Kalamazoo, Michigan. FINRA reports that Jim Bylenga was barred from the securities and investment banking industry in April 2019. ACCORDING TO FINRA: Jim Bylenga consented to the …

Goodman & Nekvasil P.A., May Recover Investor Losses | James Bylenga – Financial Advisor Barred from Securities Industry James Bylenga CRD #705143 James Bylenga was a previously licensed financial advisor with LPL Financial LLC and Comerica Securities in Portage and Kalamazoo, Michigan. FINRA reports that James Bylenga was barred from the securities and investment banking industry in April 2019. ACCORDING TO …

James Eichner –  Financial Advisor James Eichner Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses James Eichner CRD #3221851 James Eichner was a formerly licensed financial advisor with Allied Millennial Partners, LLC and National Securities Corporation in New York. FINRA reports that James Eichner was suspended from the securities industry for 45 days on April …

Goodman & Nekvasil P.A., May Recover Investor Losses | David Hobby – William David Hobby, Financial Advisor Discharged from Firm  David Hobby CRD #2240076 David Hobby was a previously licensed financial advisor with UBS Financial Services, Inc. in Atlanta, Georgia. UBS Financial Services, Inc. reported to FINRA that David Hobby was discharged in 2018 after firm’s review found that David Hobby …

Goodman & Nekvasil P.A., May Recover Investor Losses | Scott Klor, Financial Advisor Suspended from Securities Industry Scott Klor of Fort Mill, South Carolina was a previously licensed financial advisor/broker with LPL Financial LLC. FINRA reports that Scott Klor was suspended for 14 months beginning in April 2019. According to FINRA: Scott Klor consented to the sanctions and to the entry …

Goodman & Nekvasil P.A., May Recover Investor Losses | Mark Lamendola – Mark Isidore Lamendola, Financial Advisor Barred from Securities Industry  Mark Lamendola was previously licensed with World Capital Brokerage, Inc. in Cranberry Township, Pennsylvania. FINRA reports that Mark Lamendola was barred from the securities industry in January 2019. ACCORDING TO FINRA:  Mark Lamendola consented to the sanction and to the …

Goodman & Nekvasil, P.A., May Recover Investor Losses | Chris Charles Hellman – Chris Hellman, Financial Advisor Discharged from Firm According to FINRA’S records, Chris Hellman was discharged from Merrill Lynch on September 20, 2018 relating to the following allegations: Conduct including failure to adhere to Firm standards regarding selling away and failure to fully disclose participation in outside activities. FINRA also …