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 …

Goodman & Nekvasil, P.A. May Recover Losses | Hector May, Broker Pleads Guilty to Fraud Charges  Hector May was licensed with Securities America, Inc. from 1998 to 2018. Securities America, Inc. reported to FINRA that Hector May was discharged from Securities America, Inc on March 9, 2018. Securities America, Inc. reports that Hector May allegedly misappropriated client assets. The SEC filed …

Goodman & Nekvasil P.A. May Recover Investor Losses | Cornelius Peterson Charged by SEC SEC Charges Cornelius Peterson The Securities and Exchange Commission announced today the entry of a final judgment against Cornelius Peterson, a former investment adviser at a large financial institution who was charged with misappropriating client funds. On January 31, 2018, the Commission filed a complaint in the …

Goodman & Nekvasil P.A. May Recover Investor Losses | James Polese Charged by SEC SEC Charges James Polese The Securities and Exchange Commission (“Commission”) charged two Boston-area investment advisers, one of them being James Polese, with defrauding multiple clients by stealing nearly half a million dollars of client assets, along with other breaches of their fiduciary duty. According to the SEC, in …

Goodman & Nekvasil, P.A., Recovering Investor Losses – All American Oil & Gas, Inc. Bankruptcy  Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments, including All American Oil & Gas, Inc. Even though high yield or junk bonds, notes, …

Jennifer Ling – Customer Disputes Filed Involving Financial Advisor/Broker Jennifer Ling | Goodman & Nekvasil, P.A. May Recover Investor Losses Jennifer Ling CRD #3277203 Jennifer Ling was a previously licensed financial advisor with Axiom Capital Management, Inc. from 2015 to 2017. Jennifer Ling has also been associated with GPS Capital Management, LLC.  FINRA reports that two arbitration claims and/or complaints …

Goodman & Nekvasil P.A., May Recover Investor Losses | Terrence Puricelli, Financial Advisor Barred from Securities Industry  Terrence Puricelli was a formerly licensed financial advisor with Wells Fargo Advisors, LLC from 2011 to 2016. FINRA reports that Terrence Puricelli was discharged from Wells Fargo Advisors, LLC on August 25, 2016. Wells Fargo Advisors, LLC reported to FINRA that Terrence Puricelli’s discharge …

Goodman & Nekvasil P.A. May Recover Investor Losses | Kimberly Kitts, Formerly Licensed Financial Advisor Pleads Guilty to Charges Kimberly Kitts CRD #2768200 Kimberly Kitts Pleads Guilty On November 19, 2018, Kimberly Kitts, a Cape Cod-area investment adviser, pleaded guilty to criminal charges filed by the U.S. Attorney for the District of Massachusetts. According to the SEC, Kimberly Kitts admitted to investment …

Goodman & Nekvasil P.A., May Recover Investor Losses | James Kujawski Financial Advisor Suspended from Securities Industry  James Kujawski is a licensed financial advisor with Ameriprise Financial Services, Inc. James Kujawski was previously licensed with UBS Financial Services, Inc. FINRA reports that James Kujawski was discharged from UBS Financial Services, Inc. on February 20, 2018. UBS Financial Services, Inc. reported to …