Goodman & Nekvasil P.A., May Recover Investor Losses – Daniel James Lauletta (Daniel Lauletta) of Cetera Advisor Networks LLC Daniel Lauletta was licensed with Cetera Advisor Networks LLC from 2013 to 2016. Daniel Lauletta was also licensed with MSI Financial Services, Inc. and Walnut Street Securities, Inc. Daniel Lauletta is now licensed with MML Investors Services, LLC. FINRA reports that two …
Lori Mae Kramer (Lori Kramer) a/k/a Lori Mae High, Lori Kramer Pieper and Lori Kramer Pieper-High, Fired by MetLife Securities, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Lori Mae Kramer (Lori Kramer) a/k/a Lori Mae High, Lori Kramer Pieper and Lori Kramer Pieper-High, Fired by MetLife Securities, Inc. From 2006 until Lori Kramer’s firing in 2013, Lori Kramer was licensed with New England Securities A/K/A MetLife Securities, Inc. According to FINRA’s records, Lori Kramer was fired by MetLife Securities, …
Eric Ray Lamb (Eric Lamb) Formerly Licensed with Morgan Keegan & Company, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Eric Ray Lamb (Eric Lamb) Formerly Licensed with Morgan Keegan & Company, Inc. Eric Lamb was licensed with Morgan Keegan & Company, Inc. from 2009 to 2013. Eric Lamb was subsequently licensed with Raymond James & Associates, Inc. and Impactive Advisors LLC. FINRA reports that a complaint was filed involving Eric Lamb’s …
Steven Knowlton – Steven Michael Knowlton, Arbitration Claim Filed Against Financial Advisor
Steven Knowlton – Steven Michael Knowlton, Arbitration Claim Filed Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Steven Knowlton CRD #4527446 Steven Knowlton was licensed with IMS Securities, Inc. from 2002 to 2017. FINRA reports that an arbitration claim involving Steven Knowlton’s conduct with IMS Securities, Inc. was filed. This case did not settle and proceeded to …
Harlan Earl Malfar (Harlan Malfar) a/k/a Lanny Malfar Fired by Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Harlan Earl Malfar (Harlan Malfar) a/k/a Lanny Malfar Fired by Ameriprise Financial Services, Inc. From 2003 until Harlan Malfar’s firing in 2016, Harlan Malfar was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Harlan Malfar was fired by Ameriprise Financial Services, Inc. on March 21, 2016. Ameriprise Financial Services, Inc. …
Scott Frederick Matthews (Scott Matthews) Barred from Securities Industry and Fired by Key Investment Services LLC – Goodman & Nekvasil P.A., May Recover Investor Losses on Unit Investment Trusts
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, …