Goodman & Nekvasil P.A., May Recover Investor Losses – Richard Stephen Barone (Richard Barone) a/k/a Rich Barone and Rick Barone Permitted to Resign from Park Avenue Securities LLC From 2010 until Richard Barone’s resignation in 2014, Richard Barone was licensed with Park Avenue Securities LLC. According to FINRA’s records, Richard Barone was permitted to resign from Park Avenue Securities LLC on …

Goodman & Nekvasil P.A., May Recover Losses on Leveraged ETFs and/or Other Investments – Stuart Alan Epley (Stuart Epley) Suspended from Securities Industry and Permitted to Resign from Ameriprise Financial Services, Inc.  From 2009 until Stuart Epley’s resignation in 2012, Stuart Epley was licensed with Ameriprise Financial Services, Inc. Stuart Epley is now licensed with IFS Securities. According to FINRA’s records, …

Goodman & Nekvasil P.A., May Recover Investor Losses – Quinn Alexander McClendon (Quinn McClendon) Fired by Citizens Securities, Inc. and Barred from Securities Industry From 2015 until Quinn McClendon’s firing in 2016, Quinn McClendon was licensed with Citizens Securities, Inc. Quinn McClendon was previously licensed with Mutual of Omaha Investor Services, Inc. According to FINRA’s records, Quinn McClendon was fired by …

Goodman & Nekvasil P.A., May Recover Investor Losses – Monte Kim Miron (Monte Miron) Permitted to Resign from MML Investors Services, LLC and Barred from Securities Industry From 2012 until Monte Miron’s resignation in 2013, Monte Miron was licensed with MML Investors Services, LLC. Monte Miron was previously licensed with AXA Advisors, LLC. According to FINRA’s records, Monte Miron was permitted …

Goodman & Nekvasil P.A., May Recover Investor Losses – Randall William Hunt (Randy Hunt) Fired by Ameriprise Financial Services, Inc. and Barred from Securities Industry From 2016 until Randy Hunt’s firing in 2017, Randy Hunt was licensed with Ameriprise Financial Services, Inc. Randy Hunt was previously licensed with Stifel, Nicolaus & Company, Incorporated. According to FINRA’s records, Randy Hunt was fired …

Goodman & Nekvasil P.A., May Recover Losses on Vapor Distribution, Inc. and/or Other Investments | Corey Mireau – Financial Advisor Corey Mireau Permitted to Resign from Ameriprise Financial Services, Inc.  Corey Mireau CRD #3046777 From 1998 until Corey Mireau’s resignation in 2017, Corey Mireau was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Corey Mireau resigned from Ameriprise Financial …

Goodman & Nekvasil P.A., May Recover Investor Losses – Jerry Owen Mofield (Jerry Mofield) Formerly Licensed with Newbridge Securities Corporation, Barred from Securities Industry Jerry Mofield was licensed with Newbridge Securities Corporation from June 2007 to July 2014. Jerry Mofield was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on September 29, 2015. FINRA …

Goodman & Nekvasil P.A., May Recover Investor Losses – Jijun Yi (Jimmy Yi) Formerly Licensed with Pruco Securities, LLC  Jimmy Yi was licensed with Pruco Securities, LLC from 2013 to 2016. FINRA reports that a complaint was filed involving Jimmy Yi’s conduct with Pruco Securities, LLC related to an insurance product. This complaint was settled for $43,005.21. If you lost any …

Goodman & Nekvasil P.A., May Recover Investor Losses  – Neal Charles Moon (Neal Moon) Barred from Securities Industry and  Permitted to Resign from Waddell & Reed, Inc.   From 2009 until Neal Moon’s resignation in 2015, Neal Moon was licensed with Waddell & Reed, Inc. According to FINRA’s records, Neal Moon was permitted to resign from Waddell & Reed, Inc. on September …

Goodman & Nekvasil P.A., May Recover Investor Losses – Richard Lee Ewalt (Richard Ewalt) Suspended from Securities Industry and Resigned from BB&T Investment Services, Inc. From 2011 until Richard Ewalt’s resignation in 2013, Richard Ewalt was licensed with BB&T Investment Services, Inc. According to FINRA’s records, Richard Ewalt resigned from BB&T Investment Services, Inc. on June 5, 2013. BB&T Investment Services, …