Goodman & Nekvasil P.A, May Recover Investor Losses – Alfred Kai Kwong Chan (Alfred Chan) Suspended from Securities Industry and Fired by Signator Investors, Inc. From 2010 until Alfred Chan’s firing in 2013, Alfred Chan was licensed with Signator Investors, Inc. After that, Alfred Chan was licensed with NI Advisors. According to FINRA’s records, Alfred Chan was fired by Signator Investors, …
Curtis Lyman – Arbitration Claims Filed Involving Financial Advisor Curtis Lyman
Curtis Lyman – Arbitration Claims Filed Involving Financial Advisor Curtis Lyman | Goodman & Nekvasil PA May Recover Investor Losses Curtis Lyman CRD #1407264 From 2009 until 2015, Curtis Lyman was licensed with HighTower Securities, LLC. FINRA reports that five lawsuits/arbitration claims alleging sales practice violations against Curtis Lyman were settled, with the largest settlements being $750,000, $337,500 and $300,00. …
Derek Neal York (Derek York) Barred from the Securities Industry — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Derek Neal York (Derek York) Barred from the Securities Industry From March 2012 until October 2012, Derek York was licensed with LPL Financial LLC. Derek York was previously licensed with MetLife Securities Inc. FINRA brought a disciplinary action against Derek York in 2014. Derek York consented to a bar from the securities …
Dennis Allen Hayes (Dennis Hayes) Permitted to Resign from Newbridge Securities Corporation – Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Dennis Allen Hayes (Dennis Hayes) Permitted to Resign from Newbridge Securities Corporation From 2010 until Dennis Hayes’ resignation in 2016, Dennis Hayes was licensed with Newbridge Securities Corporation. According to FINRA’s records, Dennis Hayes was permitted to resign by Newbridge Securities Corporation on September 8, 2016. Newbridge Securities Corporation reported to FINRA that …
Nicholas D’Amico, Jr. (Nicholas D’Amico) Formerly Licensed with National Securities Corporation has Securities License Revoked – Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Nicholas D’Amico, Jr. (Nicholas D’Amico) Formerly Licensed with National Securities Corporation has Securities License Revoked From 2012 until 2014, Nicholas D’Amico was licensed with National Securities Corporation. FINRA reports that the New Jersey Bureau of Securities revoked Nicholas D’Amico’s securities license on July 28, 2016. The New Jersey Bureau of Securities alleged that …
Gregory Alan Townes (Greg Townes) of Foresters Equity Services, Inc., Suspended from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Gregory Alan Townes (Greg Townes) Formerly Licensed with Foresters Equity Services, Inc., Suspended from Securities Industry From 2012 until 2016, Greg Townes was licensed with Foresters Equity Services, Inc. FINRA reported that an arbitration claim alleging improper loan transactions between Greg Townes and customers was settled. Subsequent to Greg Townes’s misconduct, FINRA …
Robert Leland Johnson, IV (Robert Johnson) Barred from the Securities Industry – Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Robert Leland Johnson, IV (Robert Johnson) Barred from the Securities Industry From 2011 until Robert Johnson’s resignation in 2012, Robert Johnson was licensed with Cambridge Investment Research, Inc. Robert Johnson was then licensed with Summit Brokerage Services, Inc. According to FINRA’s records, Robert Johnson was permitted to resign by Cambridge Investment Research, …
Lawrence Sheldon Steinberg, Jr. (Larry Steinberg) Fired by Newbridge Securities Corporation and Berthel, Fisher & Company Financial Services, Inc. — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Lawrence Sheldon Steinberg, Jr. (Larry Steinberg) Fired by Newbridge Securities Corporation and Berthel, Fisher & Company Financial Services, Inc. From 2014 until Larry Steinberg’s firing in 2016, Larry Steinberg was licensed with Newbridge Securities Corporation. According to FINRA’s records, Larry Steinberg was fired by Newbridge Securities Corporation on October 17, 2016. Newbridge Securities …
Robert James Zorn (Robert Zorn) Fired by AXA Advisors, LLC – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Robert James Zorn (Robert Zorn) Fired by AXA Advisors, LLC From 2015 until Robert Zorn’s firing in 2016, Robert Zorn was licensed with AXA Advisors, LLC. Robert Zorn was previously licensed with Santander Securities, LLC and Ameriprise Financial Services, Inc. According to FINRA’s records, Robert Zorn was fired by AXA Advisors, LLC …
Robert A. Perconte (Robert Perconte) Barred from Securities Industry and Fired by Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Robert A. Perconte (Robert Perconte) Barred from Securities Industry and Fired by Ameriprise Financial Services, Inc. From 2009 until Robert Perconte’s firing in 2016, Robert Perconte was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Robert Perconte was fired by Ameriprise Financial Services, Inc. on April 13, 2016. Ameriprise Financial Services, …