PETER SHEN Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses EMERSON EQUITY LLC broker, PETER SHEN has an investor complaint. LEI SHEN PETER SHEN CRD#: 5769894 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   LEI SHEN (CRD#: 5769894), a registered representative for EMERSON EQUITY LLC, in SAN MATEO, …

Samuel Sutterfield Has A Settled Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses CENTAURUS FINANCIAL, INC. investment adviser, Samuel Sutterfield has an investor complaint. SAMUEL LESLIE SUTTERFIELD Samuel l Sutterfield CRD#: 5988560 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   SAMUEL LESLIE SUTTERFIELD (CRD#: 5988560), a registered representative for CENTAURUS …

JOHN SOMMO Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses Former UBS FINANCIAL SERVICES INC. investment adviser, JOHN SOMMO has an investor complaint. JOHN ANTHONY SOMMO CRD#: 3141638 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   JOHN ANTHONY SOMMO (CRD#: 3141638), a former registered representative for UBS FINANCIAL …

Dave Stone Has Two $1 Million Investor Complaints – Goodman & Nekvasil, P.A. May Recover Investor Losses STIFEL, NICOLAUS & COMPANY, INCORPORATED investment adviser, Dave Stone Has Two $1 Million Investor Complaints. RICHARD DAVID STONE DAVID R STONE, Dave Stone CRD#: 4219856 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   RICHARD DAVID STONE …

DAVE LORBER Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses Former NEWBRIDGE FINANCIAL SERVICES GROUP, INC. investment adviser, DAVE LORBER has an investor complaint. David Alan Lorber DAVE LORBER, DAVE LORBERT CRD#: 2313582 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   David Alan Lorber (CRD#: 2313582), a former …

SANDY SIMMONS JR Has Multiple Investor Complaints – Goodman & Nekvasil, P.A., May Recover Investor Losses Former SAXONY SECURITIES, INC. broker, SANDY SIMMONS JR Has Multiple Investor Complaints. Complainants in two pending FINRA arbitration claims are demanding a total of $1.9 Million over the broker’s recommendation to invest in Regulation D private placements.  SANFORD GRAHAM SIMMONS SANDY SIMMONS JR, SANFORD …

DAVID MENASHE Has Multiple Investor Complaints – Goodman & Nekvasil, P.A., May Recover Investor Losses Former ALLIED MILLENNIAL PARTNERS, LLC broker, DAVID MENASHE Has Multiple Investor Complaints. DAVID GENE MENASHE CRD#: 5727269 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   DAVID GENE MENASHE (CRD#: 5727269), a former registered representative for ALLIED MILLENNIAL PARTNERS, …

DALE TIMMERMANN Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses MOLONEY SECURITIES CO., INC. broker, DALE TIMMERMANN has an investor complaint. DALE ERBIN TIMMERMANN CRD#: 2423919 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   DALE ERBIN TIMMERMANN (CRD#: 2423919), a registered representative for MOLONEY SECURITIES CO., INC., in …

WENDY HOLMES Has A $1 Million Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses UBS FINANCIAL SERVICES INC. investment adviser,  WENDY HOLMES Has A $1 Million Investor Complaint alleging unsuitability and misrepresentation. WENDY HOLMES CRD#: 2944190 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   WENDY HOLMES (CRD#: 2944190), a registered …

WENDY TURK Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses Former LPL FINANCIAL LLC broker, WENDY TURK has an investor complaint. WENDY WAN TURK Wendy Wan CRD#: 5880914 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   WENDY WAN TURK (CRD#: 5880914), a former registered representative for LPL FINANCIAL LLC, in …