Joseph Ambrosole, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Joseph Ambrosole CRD #5732488 Joseph Ambrosole has been licensed with Joseph Stone Capital L.L.C. since 2017. FINRA reports that Joseph Ambrosole was suspended from the securities industry for one month on February 21, 2017. FINRA reports that Joseph Ambrosole consented to the sanctions and …
Michael Edward Fitzgerald (Michael Fitzgerald), Arbitration Claim filed Involving Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Michael Edward Fitzgerald (Michael Fitzgerald), Arbitration Claim filed Involving Financial Advisor Michael Fitzgerald has been licensed with Morgan Stanley from 2009 to 2018. FINRA reports that an arbitration claim involving Michael Fitzgerald’s conduct has been filed, alleging unsuitability with respect to investment accounts. This arbitration claim is pending and seeks $240,000 in …
John Spach, Complaint Filed Involving Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | John Spach, Complaint Filed Involving Financial Advisor John Spach was a formerly licensed financial advisor with Kestra Investment Services, LLC from 2014 to 2018. According to John Spach’s FINRA BrokerCheck, a complaint was filed involving John Spach’s conduct. According to BrokerCheck, John Spach, a registered representative associated with Kestra Investment Services, LLC, …
Guy Stanley Waltman (Guy Waltman), Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Guy Stanley Waltman (Guy Waltman), Financial Advisor Suspended from Securities Industry Guy Waltman has been licensed with UBS Financial Services, Inc. since 2006. FINRA reports that Guy Waltman was suspended from the securities industry on March 18, 2019. FINRA reports that Guy Waltman consented to the sanction and to the entry of …
John Tweardy Jr. (John Tweardy), Financial Advisor Discharged from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | John Tweardy Jr. (John Tweardy), Financial Advisor Discharged from Firm John Tweardy was a formerly licensed financial advisor with H. Beck, Inc. from 2002 to 2018. H. Beck, Inc. reported to FINRA that John Tweardy was discharged on November 1, 2018. FINRA reports that John Tweardy allegedly “failed to respond in timely …
Melvin Case, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Melvin Case, Financial Advisor Suspended from Securities Industry Melvin Case was licensed with LPL Financial LLC from 2008 to 2017. FINRA reports that Melvin Case was suspended from the securities industry on February 5, 2018. FINRA reports that Melvin Case consented to the sanction and to the entry of findings that Melvin …
Martin Patrick McLaughlin (Martin McLaughlin), Arbitration Claim filed Involving Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Martin Patrick McLaughlin (Martin McLaughlin), Arbitration Claim filed Involving Financial Advisor Martin McLaughlin was licensed with UBS Financial Services, Inc. from 2010 to 2018. FINRA reports that a complaint was filed involving Martin McLaughlin’s conduct alleging Martin McLaughlin recommended unsuitable, risky and over-concentrated investments in equities. If you lost any money on …
Casey Wayne Walker (Casey Walker), Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Casey Wayne Walker (Casey Walker), Financial Advisor Barred from Securities Industry Casey Walker was licensed with Farmers Financial Solutions, LLC from 2016 to 2018. FINRA reports that Casey Walker consented to the sanction and to the entry of findings that Casey Walker refused to produce documents and information requested by FINRA during …
Sean Waters, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Sean Waters, Financial Advisor Barred from Securities Industry Sean Waters was previously licensed with Newbridge Securities Corporation and Financial West Group. FINRA reports that Sean Waters was barred from the securities industry on November 28, 2018. FINRA reports that Sean Waters consented to the sanction and to the entry of findings that …
Thomas Cameron Oakes (Thomas Oakes), Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Thomas Cameron Oakes (Thomas Oakes), Financial Advisor Barred from Securities Industry Thomas Oakes was licensed with Royal Securities Company from 2014 to 2017. FINRA reports that Thomas Oakes was barred from the securities industry on February 19, 2019. FINRA reports that Thomas Oakes consented to the sanction and to the entry of …