JIM PTACEK Terminated After LPL FINANCIAL LLC Allegations – Goodman & Nekvasil, P.A., May Recover Investor Losses JIM PTACEK Terminated After LPL FINANCIAL LLC Allegations. JAMES ROBERT PTACEK JR JAMES ROBERT PTACEK, JIM PTACEK CRD#: 1959049 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. JAMES ROBERT PTACEK JR (CRD#: 1959049), a former broker …
ANGELO JULIUS PICCONE Has A Settled Investor Complaint– May Recover Investor Losses
ANGELO JULIUS PICCONE Has A Settled Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses Former IBN FINANCIAL SERVICES, INC. investment adviser, ANGELO JULIUS PICCONE Has A Settled Investor Complaint. ANGELO JULIUS PICCONE CRD#: 1401761 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. ANGELO JULIUS PICCONE (CRD#: 1401761), a former registered …
VENUGOPAL REDDY Is the Subject of a FINRA Investigation – May Recover Investor Losses
VENUGOPAL REDDY Is the Subject of a FINRA Investigation – Goodman & Nekvasil, P.A. May Recover Investor Losses FBS SECURITIES investment adviser, VENUGOPAL REDDY Is the Subject of a FINRA Investigation concerning participating in private securities transactions for selling compensation without providing prior disclosure to his member firm. VENUGOPAL RAMAKRISHNAPPA REDDY VENUGOPAL B RAMAKRISHNAPPA, VENUGOPAL RAMAKRISHNAPPA CRD#: 5125813 Call 800-500-4442 …
Ozzie Ramos Has An Investor Complaint – May Recover Investor Losses
Ozzie Ramos Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses WESTERN INTERNATIONAL SECURITIES, INC. investment adviser, Ozzie Ramos has an investor complaint. Oswaldo Ramos, Ozzie Ramos CRD#: 2572345 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. Oswaldo Ramos (CRD#: 2572345), a registered representative for WESTERN INTERNATIONAL SECURITIES, INC. …
THOMAS EALY Has Four Settled Oil & Gas Investor Complaints – May Recover Investor Losses
THOMAS EALY Has Four Settled Oil & Gas Investor Complaints – Goodman & Nekvasil, P.A., May Recover Investor Losses CETERA INVESTMENT ADVISERS LLC investment adviser, THOMAS EALY has four settled Oil & Gas investor complaints. THOMAS JAMES EALY CRD#: 863042 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. THOMAS JAMES EALY (CRD#: 863042), …
SIOBHAN BRADY Has An Investor Complaint – May Recover Investor Losses
SIOBHAN BRADY Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses UBS FINANCIAL SERVICES INC. investment adviser, SIOBHAN BRADY has an investor complaint seeking $1 Million in damages. SIOBHAN BRADY SIOBHAN M BRADY, SIOBHAN M SHAUGHNESSY, SIOBHAN MARIE SHAUGHNESSY, SIOBHAN SHAUGHNESSY CRD#: 5151594 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from …
ROBERT OBRAITIS Has A Denied Investor Complaint – Goodman & Nekvasil, P.A.
ROBERT OBRAITIS Has A Denied Investor Complaint – Goodman & Nekvasil, P.A. May Recover Investor Losses CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. investment adviser, ROBERT OBRAITIS has a denied investor complaint. ROBERT RONALD OBRAITIS CRD#: 2124486 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. ROBERT RONALD OBRAITIS (CRD#: 2124486), a registered representative for CAMBRIDGE …
SANJAY MATHUR Has An Investor Complaint – May Recover Investor Losses
SANJAY MATHUR Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses RBC CAPITAL MARKETS, LLC financial adviser, SANJAY MATHUR Has An Investor Complaint. Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. SANJAY MATHER (CRD#: 1144243), a registered representative for RBC CAPITAL MARKETS, LLC in Irvine, CA, has an investor …
JAMES CLIFFORD STOCKTON Suspended by FINRA – Goodman & Nekvasil, P.A.
JAMES CLIFFORD STOCKTON Suspended by FINRA – Goodman & Nekvasil, P.A. May Recover Investor Losses DEMPSEY LORD SMITH, LLC broker, JAMES CLIFFORD STOCKTON Suspended by FINRA. JAMES CLIFFORD STOCKTON CRD#: 1801686 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. Without admitting or denying the findings, Stockton consented to the sanctions and to the …
RUSS FIEGER Has An Investor Complaint – May Recover Investor Losses
RUSS FIEGER Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses CORNERSTONE SECURITIES LLC financial adviser, RUSS FIEGER has an investor complaint. RUSSELL EDWARD FIEGER RUSS FIEGER CRD#: 4122326 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. RUSSELL EDWARD FIEGER (CRD#: 4122326), a registered representative for COLORADO FINANCIAL SERVICE …