Chad Wiegand – Financial Advisor Chard Wiegand Pleads Guilty to Conspiracy to Commit Securities Fraud | Goodman & Nekvasil PA May Recover Investor Losses Chad Wiegand CRD #2110197 Chad Wiegand was licensed with National Planning Corporation from 2008 to 2013. FINRA reports that the SEC barred Chad Wiegand from the securities industry for insider trading. FINRA also reports that on …

Goodman & Nekvasil P.A., May Recover Investor Losses – Assan Faal Barred from Securities Industry Assan Faal has been licensed with Stifel, Nicolaus & Company, Incorporated, Sterne, Agee & Leach, Inc., and National Securities Corporation. Assan Faal was also the CEO of SCOA Capital Investments. Assan Faal was barred from the securities and investment banking industry by the Financial Industry Regulatory …

Goodman & Nekvasil P.A, May Recover Investor Losses – James Michael Sarkauskas Sr. (James Sarkauskas) Barred from the Securities Industry by the SEC James Sarkauskas was licensed with Western International Securities, Inc. from 2006 to 2011. James Sarkauskas was also the founder, president and chief compliance officer of Sarkauskas and Associates, Inc. James Sarkauskas was disgorged for $331,433.98, fined $118,403.22, and …

Goodman & Nekvasil P.A, May Recover Investor Losses – Douglas Eric Hampton Pleads Guilty to Conspiracy to Commit Federal Program Bribery  Douglas Hampton was licensed with First Allied Securities, Inc. from 2008 to 2013. Douglas Hampton was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on July 10, 2014. FINRA reports that Douglas Hampton …

Goodman & Nekvasil P.A, May Recover Investor Losses | Anthony Ferrone – Financial Advisor Anthony Ferrone Barred from Securities Industry  Anthony Ferrone CRD #1192506 Anthony Ferrone was formerly licensed with Ameriprise Financial Services, Inc. and Morgan Stanley. Anthony Ferrone was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on July 25, 2017. FINRA reports …

Goodman & Nekvasil P.A, May Recover Investor Losses | John Hudnall – Financial Advisor John Hudnall Barred from Securities Industry  John Hudnall CRD #4200298 John Hudnall was formerly licensed with U.S. Bancorp Investments, Inc. and Bancwest Investment Services, Inc. John Hudnall was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on November 15, 2016. …

Goodman & Nekvasil P.A, May Recover Investor Losses – Andrew Scott Corbman Barred from Securities Industry Andrew Corbman was formerly licensed with Kovack Securities, Inc. and Newbridge Securities Corporation. Andrew Corbman was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on December 9, 2016. FINRA reports that Corbman consented to the sanction and to …

GOODMAN & NEKVASIL P.A, MAY RECOVER YOUR INVESTMENT LOSSES – JEFFREY HAMILTON HOWELL BARRED FROM SECURITIES INDUSTRY  Jeffrey Howell was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) in October 2016 for falsifying documents, misstating account values, altering account statements, and refusing to respond to FINRA’s request for testimony.  Prior to this action, according to …

Goodman & Nekvasil P.A., May Recover Your Investment Losses – Barbara Lucille Desiderio (Barbara Desiderio) Barred From Securities Industry Barbara Desiderio was licensed with Herbert J. Sims & Co. Inc. from 2002 to 2013. Barbara Desiderio was subsequently licensed with Global Arena Capital Corp. Barbara Desiderio was barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) on September …

Goodman & Nekvasil P.A., May Recover Investor Losses on Variable Annuities – Kwimin Ahn (Ken Ahn) Fired by Pruco Securities, LLC  From 2001 until Ken Ahn’s firing in 2017, Ken Ahn was licensed with Pruco Securities, LLC. According to FINRA’s records, Ken Ahn was fired by Pruco Securities, LLC on May 25, 2017. Pruco Securities, LLC reported to FINRA that Ken …