Emilio Guajardo Suspended by FINRA – Goodman & Nekvasil, P.A. May Recover Investor Losses Former MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED broker, Emilio Guajardo Suspended by FINRA. EMILIO GUAJARDO JR. Emilio Guajardo CRD#: 4871764 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. Without admitting or denying the findings, Guajardo consented to the …
RAJESH MARKAN Has $3.8 Million Investor Complaints – May Recover Investor Losses
RAJESH MARKAN Has $3.8 Million Investor Complaints – Goodman & Nekvasil, P.A. May Recover Investor Losses Former HILLTOP SECURITIES INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED investment adviser, RAJESH MARKAN Has $3.8 Million Investor Complaints. RAJESH MARKAN CRD#: 4553309 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. RAJESH MARKAN (CRD#: 4553309), …
BETSY WHIPPLE Has Multiple Investor Complaints – May Recover Investor Losses
BETSY WHIPPLE Has Multiple Investor Complaints – Goodman & Nekvasil, P.A. May Recover Investor Losses OSAIC WEALTH, INC. investment adviser, BETSY WHIPPLE Has Multiple Investor Complaints. BETSY LOU WHIPPLE CRD#: 2703262 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. BETSY LOU WHIPPLE (CRD#: 2703262), a registered representative for OSAIC WEALTH, INC. in HIKO, …
Micah Rayner Has Multiple Investor Complaints – May Recover Investor Losses
Micah Rayner Has Multiple Investor Complaints – Goodman & Nekvasil, P.A. May Recover Investor Losses ARETE WEALTH MANAGEMENT, LLC broker, Micah Rayner Has Multiple Investor Complaints. MICAH HARDING RAYNER CRD#: 6252596 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. MICAH HARDING RAYNER (CRD#: 6252596), a registered representative for ARETE WEALTH MANAGEMENT, LLC in …
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 …
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 …
LAWRENCE MERL Suspended by FINRA – May Recover Investor Losses
LAWRENCE MERL Suspended by FINRA – Goodman & Nekvasil, P.A. May Recover Investor Losses Former DAVID LERNER ASSOCIATES, INC. broker, LAWRENCE MERL Suspended by FINRA. Read the Westfair Business Journal’s Article. LAWRENCE MERL CRD#: 2443190 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. FINRA suspended Merl alleging that between February 2015 and October 2017, …
MICHAEL SHONIKER Suspended by FINRA – May Recover Investor Losses
MICHAEL SHONIKER Suspended by FINRA – Goodman & Nekvasil, P.A. May Recover Investor Losses Former PAYCHEX SECURITIES CORPORATION broker, MICHAEL SHONIKER Suspended by FINRA. MICHAEL TIMOTHY SHONIKER CRD#: 6402676 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. FINRA suspended Shoniker alleging that he did not timely and fully disclose to Paychex his outside …
CHRISTOPHER WRENN COX Has A Denied Investor Complaint – Goodman & Nekvasil, P.A.
CHRISTOPHER WRENN COX Has A Denied Investor Complaint – Goodman & Nekvasil, P.A. May Recover Investor Losses AMERIPRISE FINANCIAL SERVICES, LLC investment adviser, CHRISTOPHER WRENN COX has a denied investor complaint. CHRISTOPHER W COX CHRISTOPHER WRENN COX CRD#: 5802626 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. CHRISTOPHER WRENN COX (CRD#: 5802626), a …
CHRISTOPHER GALLO Suspended by FINRA – May Recover Investor Losses
CHRISTOPHER GALLO Suspended by FINRA – Goodman & Nekvasil, P.A. May Recover Investor Losses JOSEPH STONE CAPITAL L.L.C. broker, CHRISTOPHER GALLO Suspended by FINRA. Christopher Paul Gallo CHRISTOPHER GALLO CRD#: 6045888 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. FINRA suspended Gallo for Between June 30, 2020, and November 2021, Gallo recommended to …