Goodman & Nekvasil, P.A., May Recover Investor Losses – Maverick Minerals Corporation (MVRM) Suspended by the SEC from Trading  In suspending Maverick Minerals Corporation (MVRM) stock from trading, the SEC explained that Maverick Minerals Corporation (MVRM) 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 …

Goodman & Nekvasil P.A., May Recover Investor Losses – James Douglas Dickey (James Dickey) Permitted to Resign from Ameriprise Financial Services, Inc.  From 2011 until James Dickey’s resignation in 2014, James Dickey was licensed with Ameriprise Financial Services, Inc. James Dickey was subsequently licensed with with Purshe Kaplan Sterling Investments Sterling Investments. According to FINRA’s records, James Dickey was permitted to …

Goodman & Nekvasil P.A., May Recover Investor Losses – Lee Edward Farmer (Lee Farmer) Fired by Wells Fargo Advisors, LLC and Barred from Securities Industry From 2008 until Lee Farmer’s firing in 2016, Lee Farmer was licensed with Wells Fargo Advisors, LLC. According to FINRA’s records, Lee Farmer was fired by Wells Fargo Advisors, LLC on August 18, 2016. Wells Fargo …

Goodman & Nekvasil P.A., May Recover Investor Losses | Lori Miller – Financial Advisor Lori Miller Suspended from Securities Industry Lori Miller CRD #2788572 From 2014 until Lori Miller’s resignation in 2017, Lori Miller was licensed with Ameriprise Financial Services, Inc. Lori Miller was previously licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to FINRA’s records, Lori Miller was …

Goodman & Nekvasil P.A., May Recover Investor Losses – Jane Ruth Everingham (Jane O’Malley) a/k/a Jane Ruth O’Malley Formerly Licensed with LPL Financial  Jane O’Malley was licensed with LPL Financial LLC from 1991 to 2017. FINRA reports that five arbitration claims involving Jane O’Malley’s conduct with LPL Financial LLC have been file These claims allege risky investments, violation of fiduciary duty, …

Goodman & Nekvasil P.A., May Recover Investor Losses – Edward Nelson Colburn Jr. (Ted Colburn) Licensed with Great American Investors, Inc.  Ted Colburn has been licensed with Great American Investors, Inc. since 2006. FINRA reports that two complaints were filed involving Ted Colburn’s conduct with Great American Investors, Inc., alleging failure to manage assets in accordance with client’s directions and/or mismanagement …

Goodman & Nekvasil P.A., May Recover Investor Losses – Derek Rudolf D’Alonzo (Derek D’Alonzo) Fired by SunTrust Investment Services, Inc. From 2013 until Derek D’Alonzo’s firing in 2017, Derek D’Alonzo was licensed with SunTrust Investment Services, Inc. Derek D’Alonzo is now licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Derek D’Alonzo was fired by SunTrust Investment Services, Inc. on …

Goodman & Nekvasil P.A., May Recover Investor Losses – David Paul Eck (David Eck) Fired by CCF Investments Inc.  From 2006 until David Eck’s firing in 2017, David Eck was licensed with CCF Investments Inc. According to FINRA’s records, David Eck was fired by CCF Investments, Inc. on March 14, 2017. CCF Investments, Inc. reported to FINRA that David Eck was …

Goodman & Nekvasil P.A., May Recover Investor Losses – Roy Neil Carlson (Roy Carlson) Formerly Licensed with G.A. Repple & Company Roy Carlson was licensed with G.A. Repple & Company from 2004 to 2013. FINRA reports that an arbitration claim was filed involving Roy Carlson’s conduct with G.A. Repple & Company, alleging sales practice violations. This arbitration claim did not settle …

Goodman & Nekvasil P.A., May Recover Investor Losses – Ted Wayne Cadwallader (Ted Cadwallader) Fired by Ameriprise Financial Services, Inc. and Barred from Securities Industry From 1999 until Ted Cadwallader’s firing in 2014, Ted Cadwallader was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Ted Cadwallader was fired by Ameriprise Financial Services, Inc. on October 13, 2014. Ameriprise Financial …