Goodman & Nekvasil, P.A., May Recover Investor Losses – Fu Lu Cai Productions Ltd. (n/k/a Alfa Star Energy Ltd.) (FCPS) Suspended by the SEC from Trading In suspending Fu Lu Cai Productions Ltd. (n/k/a Alfa Star Energy Ltd.) (FCPS) stock from trading, the SEC explained that Fu Lu Cai Productions Ltd. (n/k/a Alfa Star Energy Ltd.) (FCPS) is delinquent in its periodic …

Goodman & Nekvasil, P.A., May Recover Investor Losses – Plures Technologies, Inc. (MANY) Suspended by the SEC from Trading  In suspending Plures Technologies, Inc. (MANY) stock from trading, the SEC explained that Plures Technologies, Inc. (MANY) 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 – United Mortgage Trust (UDMG) Suspended by the SEC from Trading  In suspending United Mortgage Trust (UDMG) stock from trading, the SEC explained that United Mortgage Trust (UDMG) 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 …

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 …