Peggy Jean Doherty-Punderson (Peggy Doherty-Punderson) Financial Advisor/Broker Peggy Doherty-Punderson Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Peggy Doherty-Punderson CRD #1535750 Peggy Doherty-Punderson was a previously licensed financial advisor/broker with Morgan Stanley. FINRA reports that Peggy Doherty-Punderson was barred from the securities industry in April 2020. According to FINRA:  Peggy Doherty-Punderson consented to the sanction …

Kevin Marshall McCallum (Kevin McCallum) – Customer Disputes Filed Involving Financial Advisor/Broker Kevin McCallum | Goodman & Nekvasil P.A. May Recover Investor Losses Kevin Marshall McCallum (Kevin McCallum) CRD #2222586 Kevin McCallum is a formerly licensed financial advisor with LPL Financial LLC. According to Kevin McCallum’s BrokerCheck report, two customer disputes have been filed alleging sales practice violations against Kevin …

Steven Dale Rodemer (Steven Rodemer) Financial Advisor/Broker Steven Rodemer Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Steven Dale Rodemer (Steven Rodemer) CRD #830561 According to Steven Rodemer’s BrokerCheck Report: Steven Rodemer was a previously licensed financial advisor/broker with Stifel, Nicolaus & Company, Incorporated. According to FINRA: Steven Rodemer consented to the sanction and to …

Mark Thomas Lamkin (Mark Lamkin) – Financial Advisor/Broker Mark Lamkin Discharged from LPL Financial LLC​ | Goodman & Nekvasil P.A., May Recover Investor Losses Mark Lamkin CRD #2121510 From 2001 until Mark Lamkin’s discharge in 2018, Mark Lamkin was licensed with LPL Financial LLC. According to FINRA’s records, Mark Lamkin was discharged from LPL Financial LLC on August 17, 2018. LPL …

Steven Harris – Financial Advisor/Broker Steven Harris Named in FINRA Complaint | Goodman & Nekvasil, P.A. May Recover Investor Losses Steven Harris CRD #2440292 Steven Harris was a previously licensed financial advisor/broker with Transamerica Financial Advisors, Inc., MML Investors Services, LLC and MSI Financial Services, In. According to Steven Harris’ BrokerCheck Report, Steven Harris was named a respondent in a …

Richard Grant Cody (Richard Cody) – Formerly Licensed Financial Advisor/Broker Richard Cody Pleads Guilty to Investment Advisor Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses  Financial Advisor Richard Cody Pleads Guilty to Investment Advisor Fraud According to the SEC Richard Cody, an investment adviser and broker representative, defrauded at least three of his clients for years by concealing the fact …

Joseph John Mauro (Joe Mauro) – Financial Advisor/Broker Joe Mauro Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Joseph John Mauro (Joe Mauro) CRD #2046076 Joe Mauro was a previously licensed financial advisor/broker with Ameritas Investment Group. According to FINRA, Joe Mauro was fined $5,000 and suspended from the securities industry for one month in …

Gregory J. Stouffer (Gregory Stouffer) Financial Advisor/Broker Gregory Stouffer Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Gregory Stouffer CRD #4213487 Gregory Stouffer was a previously licensed financial advisor/broker with Fidelity Brokerage Services, LLC. FINRA reports that Gregory Stouffer was barred from the securities industry in April 2020. According to FINRA:  Gregory Stouffer consented to …

Jason Scott McBride (Jason McBride) – Customer Disputes Filed Involving Financial Advisor/Broker Jason McBride | Goodman & Nekvasil P.A. May Recover Investor Losses Jason Scott McBride (Jason McBride) CRD #1875972 Jason McBride is a licensed financial advisor with Forta Financial Group, Inc. According to Jason McBride’s BrokerCheck report, a customer dispute has been filed alleging sales practice violations against Jason …

Steven M Netzel (Steve Netzel) – Customer Dispute Filed Involving Financial Advisor/Broker Steve Netzel | Goodman & Nekvasil P.A. May Recover Investor Losses Steven M Netzel (Steve Netzel) CRD #2863170 Steve Netzel is a previously licensed financial advisor with Kalos Capital, Inc. According to Steve Netzel’s BrokerCheck report, a customer dispute has been filed alleging sales practice violations against Steve …