Goodman & Nekvasil P.A., May Recover Investor Losses – Barbara Jane Delponte (Barbara DelPonte) a/k/a Barbara Leclair Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated From 2000 until Barbara DelPonte’s firing in 2017, Barbara DelPonte was licensed with  Merrill Lynch, Pierce, Fenner & Smith Incorporated. Barbara DelPonte now works for Ameriprise Financial Services, Inc. According to FINRA’s records, Barbara DelPonte …

Rabinder Deshmukh (Ravi Deshmukh) Formerly Licensed with Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses Ravi Deshmukh was licensed with Ameriprise Financial Services, Inc. from 2015 to 2016. FINRA reports that an arbitration claim was filed involving Ravi Deshmukh’s conduct with Ameriprise Financial Services, Inc., alleging that from 2008 to 2015, claimants were recommended and sold …

Anthony Cummings – Financial Advisor Anthony Cummings Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Anthony Cummings CRD #4425912 From 2002 until Anthony Cummings’ firing in 2016, Anthony Cummings was licensed with Edward Jones. According to FINRA’s records, Anthony Cummings was fired by Edward Jones on July 28, 2016. Edward Jones reported to FINRA that …

Goodman & Nekvasil P.A., May Recover Investment or Loan Losses – Daniel Paul Doogs (Daniel Doogs) Barred from Securities Industry and Fired by Ameriprise Financial Services, Inc. From 1984 until Dan Doogs’ firing in 2017, Dan Doogs was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Dan Doogs was fired by Ameriprise Financial Services, Inc. on June 2, 2017. …

Goodman & Nekvasil P.A., May Recover Investor Losses – Anibal Drelichman Jr. (Anibal Drelichman) Formerly Licensed with Oppenheimer & Co. Inc. Anibal Drelichman was licensed with Oppenheimer & Co. Inc. from 2009 to 2017. Anibal Drelichman is now licensed with RBC Capital Markets, LLC. FINRA reports that an arbitration claim involving Anibal Drelichman’s conduct at with Oppenheimer & Co., Inc. was …

Goodman & Nekvasil P.A., May Recover Investor Losses – Robert Lee Drew (Bob Drew) Fired by LPL Financial LLC and Barred from Securities Industry From 1997 until Bob Drew’s firing in 2013, Bob Drew was licensed with LPL Financial LLC. According to FINRA’s records, Bob Drew was fired by LPL Financial LLC on August 19, 2013. LPL Financial LLC reported to …

Goodman & Nekvasil P.A, May Recover Losses on Investments or Promissory Notes – James Michael Casey (Jim Casey) Formerly Licensed with Purshe Kaplan Sterling Investments and Integrated Wealth Management, Inc. Investigated by FINRA Jim Casey was licensed with Purshe Kaplan Sterling Investments from 2010 to 2017 and founded Integrated Wealth Management, Inc. in 2005. FINRA reports that three lawsuits and/or complaints …

Goodman & Nekvasil P.A., May Recover Losses on Options Trading and/or RiverSource Annuities – Stephen John Caruso (Stephen Caruso) Fired by Ameriprise Financial Services, Inc.  From 2012 until Stephen Caruso’s firing in 2016, Stephen Caruso worked for Ameriprise Financial Services, Inc. According to FINRA’s records, Stephen Caruso was fired by Ameriprise Financial Services, Inc. on May 27, 2016. Ameriprise Financial Services, …

Goodman & Nekvasil P.A., May Recover Investor Losses – Steven Kenneth Carlson (Steve Carlson) Fired by LPL Financial LLC From 2010 until Steve Carlson’s firing in 2013, Steve Carlson was licensed with LPL Financial LLC. According to FINRA’s records, Steve Carlson was fired by LPL Financial LLC on September 27, 2013. LPL Financial LLC reported to FINRA that Steve Carlson’s firing …

Goodman & Nekvasil, P.A., May Recover Investor Losses – China Huaren Organic Products, Inc. (CHRN) Suspended by the SEC from Trading  In suspending China Huaren Organic Products, Inc. (CHRN) stock from trading, the SEC explained that China Huaren Organic Products, Inc. (CHRN) is delinquent in its periodic filings with the Commission, having not filed any periodic reports since it filed a Form …