Goodman & Nekvasil, P.A., May Recover Investor Losses – Kalex Corp. (KLXC) Suspended by the SEC from Trading  In suspending Kalex Corp. (KLXC) stock from trading, the SEC explained that Kalex Corp. (KLXC) is delinquent in its periodic filings with the Commission, having not filed any periodic reports since it filed a Form 10-Q for the period ended March 31, 2015. Goodman …

Goodman & Nekvasil, P.A., May Recover Investor Losses – Kogeto, Inc. (KGTO) Suspended by the SEC from Trading In suspending Kogeto, Inc. (KGTO) stock from trading, the SEC explained that Kogeto, Inc. (KGTO) is delinquent in its periodic filings with the Commission, having not filed any periodic reports since it filed a Form 10-Q for the period ended September 30, 2014. Goodman …

Goodman & Nekvasil P.A., May Recover Investor Losses – Joan Gorham Fired by Morgan Stanley From 2009 until Joan Gorham’s firing in 2015, Joan Gorham was licensed with Morgan Stanley. According to FINRA’s records, Joan Gorham was fired by Morgan Stanley on March 25, 2015. Morgan Stanley reported to FINRA that Joan Gorham’s firing related to allegations regarding Joan Gorham’s handling …

Goodman & Nekvasil P.A., May Recover Investor Losses – Edward E. Gottlieb (Edward Gottlieb) Fired by Wells Fargo Advisors From 2011 until Edward Gottlieb’s firing in 2017, Edward Gottlieb was licensed with Wells Fargo Clearing Services, LLC. According to FINRA’s records, Edward Gottlieb was fired by Wells Fargo Advisors on January 18, 2017. Wells Fargo Advisors reported to FINRA that Edward …

Goodman & Nekvasil P.A., May Recover Investor Losses – Dylan Patrick Grayson (Dylan Grayson) Barred from Securities Industry and Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated From 2012 until Dylan Grayson’s firing in 2015, Dylan Grayson was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to FINRA’s records, Dylan Grayson was fired by Merrill Lynch, Pierce, Fenner …

Goodman & Nekvasil P.A., May Recover Investor Losses – Samuel Lawayne Haddix (Samuel Haddix) Formerly Licensed with Ameriprise Financial Services, Inc.  From 2002 until Samuel Haddix’s resignation in 2017, Samuel Haddix was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Samuel Haddix resigned from Ameriprise Financial Services, Inc. on January 13, 2017. Ameriprise Financial Services, Inc. reported to FINRA …

Goodman & Nekvasil P.A., May Recover Investor Losses – John Robert Halasz (John Halasz) Fired by Calton & Associates, Inc. From 2016 until John Halasz’ firing in 2017, John Halasz was licensed with Calton & Associates, Inc. John Halasz was previously licensed with Ameriprise Financial Services, Inc. from 2012 to 2015. According to FINRA’s records, John Halasz was fired by Calton …

Goodman & Nekvasil P.A., May Recover Investor Losses – Michael F. Halatek (Michael Halatek) Fired by Ameriprise Financial Services, Inc.  From 2013 until Michael Halatek’s firing in 2014, Michael Halatek was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Michael Halatek was fired by Ameriprise Financial Services, Inc. on April 17, 2014. Ameriprise Financial Services, Inc. reported to FINRA …

Goodman & Nekvasil P.A., May Recover Investor Losses – Andrew Joseph Hall (Andrew Hall) Licensed with Ameriprise Financial Services, Inc. Andrew Hall has been licensed with Ameriprise Financial Services, Inc. since 2009. FINRA reports that an arbitration claim involving Andrew Hall’s conduct with Ameriprise Financial Services, Inc. was filed, alleging mishandled accounts, negligence, breach of fiduciary duty, violation of Oregon securities …

Goodman & Nekvasil P.A., May Recover Investor Losses – Ronald Allen Freeman Jr. (Ronald Freeman) Fired by Invest Financial Corporation  From 2009 until Ronald Freeman’s firing in 2016, Ronald Freeman was licensed with Invest Financial Corporation. According to FINRA’s records, Ronald Freeman was fired by Invest Financial Corporation on October 19, 2016. Invest Financial Corporation reported to FINRA that Ronald Freeman …