Goodman & Nekvasil P.A., May Recover Investor Losses – Radcliffe Robert Daly (Cliff Daly) a/k/a Radd Daly Suspended from Securities Industry, Permitted to Resign from Ameriprise Financial Services, Inc. From 2003 until 2013, Cliff Daly was licensed with Ameriprise Financial Services, Inc. Cliff Daly was subsequently licensed with IFS Securities. According to FINRA’s records, Cliff Daly was permitted to resign from …

Goodman & Nekvasil P.A., May Recover Investor Losses – Natalia Pesin Fired by Pruco Securities, LLC and Barred from Securities Industry  From 2002 until Natalia Pesin’s firing in 2015, Natalia Pesin was licensed with Pruco Securities, LLC. According to FINRA’s records, Natalia Pesin was fired by Pruco Securities, LLC on September 17, 2015. Pruco Securities, LLC reported to FINRA that Natalia …

Goodman & Nekvasil P.A., May Recover Investor Losses – Johnathan Mandel Lo (Johnathan Lo) Barred from Securities Industry and Permitted to Resign from NYLife Securities LLC From 2013 until Johnathan Lo’s resignation 2015, Johnathan Lo was licensed with NYLife Securities LLC. Jonathan Lo was previously licensed with J.P. Morgan Securities LLC and Chase Investment Services Corp. According to FINRA’s records, Johnathan …

Goodman & Nekvasil P.A., May Recover Investor Losses – Nilda Lee Vasey (Nilda Vasey) Formerly Licensed with Lincoln Financial Advisors Corporation, Barred from Securities Industry  Nilda Vasey was licensed with Lincoln Financial Advisors Corporation from December 2013 to January 2015. Nilda Vasey was previously licensed with Ameriprise Financial Services, Inc. Nilda Vasey was barred from the securities and investment banking industry …

Shawn Sapp – Financial Advisor Shawn Sapp Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Shawn Sapp CRD #4913087 From 2007 until Shawn Sapp’s resignation in 2013, Shawn Sapp was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Shawn Sapp resigned from Ameriprise Financial Services, Inc. on January 14, 2013. Ameriprise Financial Services, …

Goodman & Nekvasil P.A., May Recover Investor Losses – Luther John Dykema (Luther Dykema) Fired by Securities America, Inc. and Fined by Minnesota Department of Commerce  From 2010 until Luther Dykema’s firing in 2012, Luther Dykema was licensed with Securities America, Inc. Luther Dykema was subsequently licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Luther Dykema was fired by …

Goodman & Nekvasil P.A., May Recover Investor Losses – Gregory James Bolduc (Gregory Bolduc) Formerly Licensed with Unionbanc Investment Services, LLC, Suspended from Securities Industry From 2012 until 2013, Gregory Bolduc was licensed with Unionbanc Investment Services, LLC. Gregory Bolduc was also licensed with Securities America, Inc. and Wells Fargo Advisors, LLC. According to FINRA’s records, Gregory Bolduc resigned from Unionbanc …

Steven S. Maher (Steven Maher) – Financial Advisor/Broker Steven Maher Discharged From Next Financial Group, Inc. | Goodman & Nekvasil P.A, May Recover Investor Losses Steven Maher CRD #1011535 From 2009 until Steven Maher’s firing in 2017, Steven Maher was licensed with Next Financial Group, Inc. Steven Maher is now licensed with American Portfolios Financial Services, Inc. According to FINRA records, …

Goodman & Nekvasil P.A., May Recover Investor Losses – Carlos Benavidez Jr. (Carlos Benavidez) Suspended from Securities Industry and Fired by Waddell & Reed, Inc. From 2006 to 2015, Carlos Benavidez was licensed with Waddell & Reed, Inc. Carlos Benavidez was subsequently licensed with International Assets Advisory, LLC. According to FINRA’s records, Carlos Benavidez was fired by Waddell & Reed, Inc. …

Goodman & Nekvasil P.A, May Recover Investor Losses on Waterbos and other Investments – Perry Lynn De Leeuw (Perry De Leeuw) Barred from Securities Industry and Fired by PFS Investments Inc.  From 2004 until Perry De Leeuw’s firing in 2016, Perry De Leeuw was licensed with PFS Investments Inc. According to FINRA records, Perry De Leeuw was fired on April 27, …