Goodman & Nekvasil P.A., May Recover Investor Losses – Julie Ann Smith (Julie Smith-Stotzer) Formerly Licensed with Ameriprise Financial Services, Inc. Julie Smith-Stotzer was licensed with Ameriprise Financial Services, Inc. from 2000 to 2015. FINRA reports that seven complaints and/or arbitration claims were filed involving Julie Smith-Stotzer’s conduct with Ameriprise Financial Services, Inc., alleging that Julie Smith-Stotzer implemented a market timing strategy …

Goodman & Nekvasil P.A., May Recover Investor Losses on Structured Notes – Kevin Peter Smith (Kevin Smith) Fired by Morgan Stanley Smith Barney LLC  From 2007 until Kevin Smith’s firing in 2016, Kevin Smith was licensed with Morgan Stanley. According to FINRA’s records, Kevin Smith was fired by Morgan Stanley Smith Barney LLC on October 3, 2016. Morgan Stanley Smith …

Goodman & Nekvasil P.A., May Recover Investor Losses on Covered Call Strategy – Scott Nolan Smith (Scott Smith) Suspended from Securities Industry and Fired by Ameriprise Financial Services, Inc. From 2009 until Scott Smith’s firing in 2013, Scott Smith was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Scott Smith was fired by Ameriprise Financial Services, Inc. on January …

Goodman & Nekvasil P.A., May Recover Investor Losses – William Ware Smith Jr. (William Smith) Formerly Licensed with UBS Financial Services, Inc. William Smith has been licensed with Ameriprise Financial Services, Inc. since 2015. William Smith was previously licensed with UBS Financial Services, Inc. FINRA reports that two complaints and/or arbitration claims were filed involving William Smith’s conduct with UBS Financial …

Goodman & Nekvasil P.A., May Recover Investor Losses – Kane Kei Cheung Wong (Kane Wong) Fired by J.P. Morgan Securities LLC  From 2012 until Kane Wong’s firing in 2014, Kane Wong was licensed with J.P. Morgan Securities LLC. Kane Wong was subsequently licensed with Cambridge Investment Research, Inc. Kane Wong was previously licensed with Chase Investment Services Corp. According to FINRA’s …

Goodman & Nekvasil P.A., May Recover Investor Losses – Edward Francis Vincent (Edward Vincent) Fired by LPL Financial LLC and Barred from Securities Industry From 2008 until Edward Vincent’s firing in 2015, Edward Vincent was licensed with LPL Financial LLC. According to FINRA’s records, Edward Vincent was fired by LPL Financial LLC on February 11, 2015. LPL Financial LLC reported to …

Goodman & Nekvasil P.A., May Recover Investor Losses – Angelina Ozlem Todurge (Angelina Todurge) a/k/a Ozlem Todurge Fired by J.P. Morgan Chase Bank NA and Barred from Securities Industry From 2014 until Angelina Todurge’s firing in 2016, Angelina Todurge was licensed with J.P. Morgan Securities LLC. Angelina Todurge was previously licensed with Morgan Stanley. According to FINRA’s records, Angelina Todurge was …

Goodman & Nekvasil P.A., May Recover Investor Losses on Promissory Notes – Alfred Talens Jr. (Alfred Talens) Fired by LPL Financial LLC and Barred from Securities Industry From 2009 until Alfred Talens’ firing in 2015, Alfred Talens was licensed with LPL Financial LLC. According to FINRA’s records, Alfred Talens was fired by LPL Financial LLC on January 26, 2015. LPL Financial …

Goodman & Nekvasil P.A., May Recover Investor Losses – Stephen Christopher Tadlock (Stephen Tadlock) Fired by Ameriprise Financial Services, Inc. From 2013 until Stephen Tadlock’s firing in 2017, Stephen Tadlock was licensed with Ameriprise Financial Services, Inc. Stephen Tadlock was previously licensed with Edward Jones. According to FINRA’s records, Stephen Tadlock was fired by Ameriprise Financial Services, Inc. on July 30, …

Goodman & Nekvasil P.A., May Recover Investor Losses – Justin Matthew Weseloh (Justin Weseloh) Barred from Securities Industry and Resigned from Ameriprise Financial Services, Inc.  From 2010 until Justin Weseloh’s resignation in 2013, Justin Weseloh was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Justin Weseloh resigned from Ameriprise Financial Services, Inc. on September 19, 2013. Ameriprise Financial …