Goodman & Nekvasil P.A., May Recover Investor Losses – Sara Aiping Ng (Sara Eng) a/k/a Sara Aiping Zhou, Aiping Zhou and Sara Zhou, Under Investigation by FINRA Enforcement Department, Fired by Axiom Capital Management, Inc. and Resigned from Financial West Group From 2015 until Sara Eng’s firing in 2016, Sara Eng was licensed with Axiom Capital Management, Inc. Sara Eng was …
Laura Anne Parker (Laura Parker) a/k/a Laura Anne Worm Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Laura Anne Parker (Laura Parker) a/k/a Laura Anne Worm Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated From 2009 until Laura Parker’s firing in 2016, Laura Parker was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Laura Parker is now licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, …
Pedro Dones Molina (Pedro Molina) Barred from Securities Industry and Permitted to Resign from Kovack Securities Inc. — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Pedro Dones Molina (Pedro Molina) Barred from Securities Industry and Permitted to Resign from Kovack Securities Inc. In 2014 Pedro Molina was licensed with Kovack Securities Inc. until his resignation. Pedro Molina was previously licensed with Oriental Financial Services Corp. and OFS Securities. According to FINRA’s records, Pedro Molina was permitted to …
Stephen Edward Masula (Stephen Masula) Fired by LPL Financial LLC — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Stephen Edward Masula (Stephen Masula) Fired by LPL Financial LLC From 2009 until Stephen Masula’s firing in 2014, Stephen Masula was licensed with LPL Financial LLC and LPL Financial Corporation. According to FINRA’s records, Stephen Masula was fired by LPL Financial LLC on August 25, 2014. LPL Financial LLC reported to FINRA …
Stephen Joseph Kipp (Stephen Kipp) Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Stephen Joseph Kipp (Stephen Kipp) Barred from Securities Industry Stephen Kipp was licensed with NPB Financial Group, LLC from 2010 to 2016. Stephen Kipp was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on October 27, 2017. FINRA reports that Stephen Kipp failed to respond …
David Robert Wolk (David Wolk) Suspended from Securities Industry – Goodman & Nekvasil P.A., May Recover Your Investment Losses
Goodman & Nekvasil P.A., May Recover Your Investment Losses – David Robert Wolk (David Wolk) Suspended from Securities Industry David Wolk was licensed with Woodstock Financial Group, Inc. from 2003 to 2014. David Wolk was suspended from the securities and investment banking industry for 1 year and 6 months and fined $15,000 by the Financial Industry Regulatory Authority (FINRA) in February …
Richard Anthony McCollam (Richard McCollam) Fired by Royal Alliance Associates, Inc. and Appealing Suspension from Securities Industry – Goodman & Nekvasil P.A., May Recover Your Investment Losses
Goodman & Nekvasil P.A., May Recover Your Investment Losses – Richard Anthony McCollam (Richard McCollam) Fired by Royal Alliance Associates, Inc. and Appealing Suspension from Securities Industry Richard McCollam was licensed with SII Investments, Inc. from 2010 to 2012. Richard McCollam was subsequently licensed with National Planning Corporation. Richard McCollam was previously licensed with Royal Alliance Associates, Inc. from 1994 until …
Bruce Musselman – Arbitration Claims Filed Involving Financial Advisor Bruce Musselman
Goodman & Nekvasil P.A., May Recover Investor Losses | Bruce Musselman – Arbitration Claims Filed Involving Financial Advisor Bruce Musselman Bruce Musselman CRD #2799298 Bruce Musselman has been licensed with Fortune Financial Services, Inc. since 2015. Bruce Musselman was previously licensed with IFS Securities and Newbridge Securities Corporation. FINRA reports that 7 complaints and/or arbitration claims were filed involving Bruce …
Daniel Patrick Mullan (Daniel Mullan) Barred from Securities Industry and Fired by NYLife Securities, LLC – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Daniel Patrick Mullan (Daniel Mullan) Barred from Securities Industry and Fired by NYLife Securities, LLC From 2014 until Daniel Mullan’s firing in 2016, Daniel Mullan was licensed with NYLife Securities LLC. Daniel Mullan was previously licensed with Wells Fargo Advisors Financial Network, LLC. According to FINRA’s records, Daniel Mullan was fired by …
Ziv Ohel Fired by Ameriprise Financial Services, Inc. and CFD Investments, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Ziv Ohel Fired by Ameriprise Financial Services, Inc. and CFD Investments, Inc. From 2016 until Ziv Ohel’s firing in 2017, Ziv Ohel was licensed with CFD Investments, Inc. Ziv Ohel was previously licensed with Ameriprise Financial Services, Inc. and Morgan Stanley. According to FINRA’s records, Ziv Ohel was fired by CFD Investments, …