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, …

Goodman & Nekvasil P.A., May Recover Investor Losses – Christopher Anthony Ferrone (Christopher Ferrone) Formerly Licensed with Morgan Stanley Wealth Management  From 2013 until Christopher Ferrone’s resignation in 2016, Christopher Ferrone was licensed with Morgan Stanley. Christopher Ferrone was subsequently licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Christopher Ferrone resigned from Morgan Stanley Wealth Management on September 9, …

Goodman & Nekvasil P.A., May Recover Losses | Bill Gammon – Arbitration Claims Filed Involving Financial Advisor Bill Gammon Bill Gammon has been licensed with Ameriprise Financial Services, Inc. since 2010. FINRA reports that an arbitration claim was filed involving Bill Gammon’s conduct with Ameriprise Financial Services, Inc. and prior employers, alleging fraud, unsuitability, negligent misrepresentation, breach of fiduciary duty, …

Goodman & Nekvasil P.A., May Recover Investor Losses – James C. Gibson (Jim Gibson) Fired by Ameriprise Financial Services, Inc.  From 2010 until Jim Gibson’s firing in 2012, Jim Gibson was licensed with Ameriprise Financial Services, Inc. Jim Gibson was subsequently licensed with MetLife Securities, Inc. According to FINRA’s records, Jim Gibson was fired by Ameriprise Financial Services, Inc. on August …

Goodman & Nekvasil P.A., May Recover Investor Losses – Sharon Hsun Goodale (Sharon Goodale) Permitted to Resign from NYLife Securities LLC and Barred from Securities Industry From 2011 until Sharon Goodale’s resignation in 2012, Sharon Goodale was licensed with NYLife Securities LLC. According to FINRA’s records, Sharon Goodale was permitted to resign from NYLife Securities LLC on December 4, 2012. NYLife …

Goodman & Nekvasil P.A., May Recover Losses on Corporate Bonds and/or Other Investments – Robert William Griffin (Robert Griffin) Formerly Licensed with Cantella & Co., Inc. Barred from Securities Industry Robert Griffin was licensed with Cantella & Co., Inc. from May 2009 to January 2017. Robert Griffin was barred from the securities and investment banking industry by the Financial Industry Regulatory …

Goodman & Nekvasil P.A., May Recover Investor Losses – Donald Gammon Hall Jr. (Donald Hall) Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated and Barred from Securities Industry From 2011 until Donald Hall’s firing in 2014, Donald Hall was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to FINRA’s records, Donald Hall was fired by Merrill Lynch, Pierce, …

Goodman & Nekvasil P.A., May Recover Investor Losses – Ronald James Hefner (Ronald Hefner) Fired by J.P. Morgan Securities LLC  From 2012 until Ronald Hefner’s firing in 2016, Ronald Hefner was licensed with J.P. Morgan Securities LLC. Ronald Hefner was previously licensed with Chase Investment Services Corp. Ronald Hefner is now licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, …