Goodman & Nekvasil P.A., May Recover Investor Losses on Unit Investment Trusts – Scott Frederick Matthews (Scott Matthews) Barred from Securities Industry and Fired by Key Investment Services LLC From 2009 until Scott Matthews’s firing in 2013, Scott Matthews was licensed with Key Investment Services LLC. According to FINRA’s records, Scott Matthews was fired by Key Investment Services LLC on November …
Maryellen Oram Trotter Lindley (Maryellen Trotter Lindley) a/k/a Mary Ellen Oram and Mary Ellen Trotter Suspended from Securities Industry and Fired by Centaurus Financial, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Maryellen Oram Trotter Lindley (Maryellen Trotter Lindley) a/k/a Mary Ellen Oram and Mary Ellen Trotter Suspended from Securities Industry and Fired by Centaurus Financial, Inc. From 2003 until Maryellen Trotter Lindley’s firing in 2013, Maryellen Trotter Lindley was licensed with Centaurus Financial, Inc. Maryellen Trotter Lindley was subsequently licensed with Sandlapper Securities, …
Gaetano Magarelli (Guy Magarelli) Licensed with Newbridge Securities Corporation – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Gaetano Magarelli (Guy Magarelli) Licensed with Newbridge Securities Corporation Guy Magarelli has been licensed with Newbridge Securities Corporation since 2010. FINRA reports that an arbitration claim was filed involving Guy Magarelli’s conduct with Newbridge Securities Corporation, alleging unsuitable investments and that Guy Magarelli made trades without consulting the client before the fact …
Richard Stephen Barone (Richard Barone) a/k/a Rich Barone and Rick Barone Permitted to Resign from Park Avenue Securities LLC – Goodman & Nekvasil P.A., May Recover Investor Losses
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 …
Stuart Alan Epley (Stuart Epley) Suspended from Securities Industry and Permitted to Resign from Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Losses on Leveraged ETFs and/or Other Investments
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, …
Quinn Alexander McClendon (Quinn McClendon) Fired by Citizens Securities, Inc. and Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
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 …
Monte Kim Miron (Monte Miron) Permitted to Resign from MML Investors Services, LLC and Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
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 …
Randall William Hunt (Randy Hunt) Fired by Ameriprise Financial Services, Inc. and Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
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 …
Corey Mireau – Financial Advisor Corey Mireau Permitted to Resign from Ameriprise Financial Services, Inc.
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 …
Jerry Owen Mofield (Jerry Mofield) Formerly Licensed with Newbridge Securities Corporation, Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
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 …