SmartStop Self Storage REIT Suspends Share Redemption Program | Goodman & Nekvasil P.A. May Recover Investor Losses Goodman and Nekvasil is investigating potential claims involving FINRA registered brokerage firms who may have unsuitably recommended SmartStop Self Storage REIT. According to the recent SEC Form 8-K: According to an 8-K filing with the SEC last week, the board of directors of …
IGF Investment Grade Fund I, LP Investigation | May Recover Investor Losses
IGF Investment Grade Fund I, LP Investigation | Goodman & Nekvasil P.A. May Recover Investor Losses Goodman and Nekvasil is investigating potential claims involving FINRA registered brokerage firms who may have unsuitably recommended alternative investments such as IGF Investment Grade Fund I, LP. According to the most recent SEC Form REG D/A: IGF Investment Grade Fund I, LP failed to …
Donovan Kelly – Broker/Financial Advisor Suspended For Recommending Private Placement Purchases In Oil & Gas Company Promissory Notes | May Recover Investor Losses
Donovan Kelly – Broker/Financial Advisor Suspended for Recommending Private Placement Purchases in Oil & Gas Company Promissory Notes | Goodman & Nekvasil P.A., May Recover Investor Losses Donovan Kelly a/k/a Donovan Thomas Kelly CRD # 2622366 Donovan Kelly a/k/a Donovan Thomas Kelly is a licensed broker with INDEPENDENT FINANCIAL GROUP, LLC., CRD#: 7717 FINRA Suspends Donovan Kelly According to FINRA: …
Bentley Blackmon – Broker/Financial Advisor Suspended | May Recover Losses
Bentley Blackmon – Broker/Financial Advisor Suspended | Goodman & Nekvasil P.A., May Recover Investor Losses Bentley Blackmon a/k/a Bentley Edward Blackmon CRD # 2627221 Bentley Blackmon a/k/a Bentley Edward Blackmon was a licensed broker with STEPHENS (CRD# 3496) until 9/29/2020. Stephens Inc. terminated Bentley Blackmon alleging that Blackmon violated FINRA Rule 3280 and Firm policies as part of his participation …
Joe Degregorio – Financial Advisor/Broker Charged by SEC | May Recover Investor Losses
Joe Degregorio – Financial Advisor/Broker Charged by SEC | Goodman & Nekvasil P.A., May Recover Investor Losses Joe Degregorio – Financial Advisor/Broker Charged by SEC. A recent SEC Complaint alleges that Joseph DeGregorio a/k/a Joe Degregorio, 45, of Freehold, NJ, solicited $1.2 million dollars from four investors, ages 78 to 94. The SEC complaint alleges that the promissory notes Degregorio …
Michael Mandel – Financial Advisor/Broker Suspended from Securities Industry | May Recover Investor Losses
Michael Mandel – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Mandel a/k/a Michael Walter Mandel CRD # 4939165 Michael Mandel a/k/a Michael Walter Mandel was a licensed financial advisor with LPL FINANCIAL LLC. Michael Mandel was discharged from LPL FINANCIAL LLC on January 19, 2022. LPL Allegations: Mandel solicited and introduced …
Andrew Elsoffer – Financial Advisor/Broker Suspended from Securities Industry | May Recover Investor Losses
Andrew Elsoffer – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Andrew Elsoffer a/k/a Andrew Bruce Elsoffer CRD # 2580009 Andrew Elsoffer a/k/a Andrew Bruce Elsoffer was a licensed financial advisor with Stifel, Nicolaus & Company, Incorporated. John Quinn was discharged from Stifel, Nicolaus & Company, Incorporated in October, 2018. Stifel, Nicolaus & …
James R Kirchner – Customer Disputes Filed Involving Financial Advisor/Broker James R Kirchner | May Recover Investor Losses
James R Kirchner – Customer Disputes Filed Involving Financial Advisor/Broker James R Kirchner | Goodman & Nekvasil P.A., May Recover Investor Losses James R Kirchner a/k/a JR Kirchner CRD # 2852217 James R Kirchner a/k/a JR Kirchner was a licensed financial advisor with Cabot Lodge Securities LLC. According to Kirchner’s BrokerCheck Report, ten customer disputes have been filed alleging alternative …
David Kennon – Customer Disputes Filed Involving Financial Advisor/Broker David Kennon | May Recover Investor Loss
David Kennon – Customer Disputes Filed Involving Financial Advisor/Broker David Kennon | Goodman & Nekvasil P.A., May Recover Investor Loss David Kennon a/k/a David Robert Kennon CRD #4459476 David Kennon a/k/a David Robert Kennon was a previously licensed financial advisor with First Allied Securities, Inc. According to David Kennon’s BrokerCheck Report, customer disputes have been filed alleging sales practice violations …
Jesus Rodriguez – Financial Advisor/Broker Barred from Securities Industry | May Recover Losses
Jesus Rodriguez – Financial Advisor/Broker Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Jesus Rodriguez a/k/a Jesus Rodriquez CRD # 4888685 Jesus Rodriguez a/k/a Jesus Rodriquez was a licensed financial advisor with Morgan Stanley. According to FINRA: Rodriguez consented to the sanction and to the entry of findings that he refused to provide information and …