Goodman & Nekvasil P.A., May Recover Investor Losses – James Arnold Busch (James Busch) Barred from Securities Industry and Fired by Wells Fargo Advisors, LLC From 2000 until James Busch’s firing in 2013, James Busch was licensed with Wells Fargo Advisors, LLC. According to FINRA’s records, James Busch was fired by Wells Fargo Advisors, LLC on September 6, 2013. Wells Fargo …

Goodman & Nekvasil P.A, May Recover Investor Losses – Tauber Lawrence Emmings (Toby Emmings) Formerly Licensed with Cambridge Investment Research, Inc., Barred from Securities Industry  From 2008 until 2014, Toby Emmings was licensed with Cambridge Investment Research, Inc. FINRA brought a disciplinary action against Toby Emmings in 2017. Toby Emmings was barred from the securities industry. The findings state that Toby …

Goodman & Nekvasil P.A., May Recover Investor Losses on ETFs – Jack B. McBride (Jack McBride) Suspended from Securities Industry and Fired by Ameriprise Financial Services, Inc. From 2009 until Jack McBride’s firing in 2014, Jack McBride was licensed with Ameriprise Financial Services, Inc. Jack McBride is now licensed with Wunderlich Securities, Inc. According to FINRA’s records, Jack McBride was fired …

Goodman & Nekvasil P.A, May Recover Your Investment Losses – Ralph Christopher Calabro Barred from Securities Industry Ralph Calabro was licensed with National Securities Corporation from 2011 to 2013. Ralph Calabro was barred from the securities and investment banking industry by the Securities and Exchange Commission (SEC) on May 29, 2015. Ralph Calabro was also fined $150,000, ordered to pay a …

Goodman & Nekvasil P.A., May Recover Investor Losses – Kim Dung Le (Kim Le) Fired by State Farm VP Management Corp. and Barred from Securities Industry From 2013 until Kim Le’s firing in 2016, Kim Le was licensed with State Farm VP Management Corp. Kim Le was previously licensed with Pruco Securities, LLC. According to FINRA’s records, Kim Le was fired …

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 Investor Losses – Theresa Ann Crescenzi (Theresa Crescenzi) Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated From April 2014 until Theresa Crescenzi’s firing in October 2014, Theresa Crescenzi was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Theresa Crescenzi was previously licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Theresa Crescenzi …

Goodman & Nekvasil P.A., May Recover Investor Losses – Nick Hsieh a/k/a Hsiao Nuog Hseih and Hsiao Hsieh, Fired by Wells Fargo Advisors, LLC  From 2009 until Nick Hsieh’s firing in 2013, Nick Hsieh was licensed with Wells Fargo Advisors, LLC. According to FINRA’s records, Nick Hsieh was fired by Wells Fargo Advisors, LLC on April 16, 2013. Wells Fargo Advisors, …

Goodman & Nekvasil P.A., May Recover Investor Losses – John Larry Simpson Jr. (Jay Simpson) Formerly Licensed with Princor Financial Services Corporation, Barred from Securities Industry  Jay Simpson was licensed with Princor Financial Services Corporation from 2014 to 2015. Jay Simpson was previously licensed with Avalon Investment & Securities Group, Inc. Jay Simpson was barred from the securities and investment banking …

Mark Lewis Kaufman (Mark Kaufman) Fired by Pruco Securities, LLC – Goodman & Nekvasil P.A., May Recover Investor Losses From 2013 until Mark Kaufman’s firing in 2014, Mark Kaufman was licensed with Pruco Securities, LLC. Mark Kaufman was subsequently licensed with Bonwick Capital Partners, LLC and LPS Capital LLC. Mark Kaufman is now licensed with Samuel A Ramirez & Co., …