Goodman & Nekvasil P.A, May Recover Investor Losses – James Rose (James Rose) Suspended from Securities Industry and Fired by UBS Financial Services Inc. From 2005 until James Rose’s firing in 2015, James Rose was licensed with UBS Financial Services Inc. According to FINRA’s records, James Rose was fired by UBS Financial Services Inc. on March 4, 2015. UBS Financial Services …
Barry Hartman – Financial Advisor Barry Hartman Barred from Securities Industry
Goodman & Nekvasil P.A, May Recover Investor Losses | Barry Hartman – Financial Advisor Barry Hartman Barred from Securities Industry Barry Hartman CRD #1361232 From 2002 until 2015, Barry Hartman was formerly licensed with FSC Securities Corporation. According to FINRA’s records, Barry Hartman was fired by FSC Securities Corporation on March 5, 2015. FSC Securities Corporation reported to FINRA that …
David Albert Ross (David Ross) Suspended from Securities Industry and Fired by Woodbury Financial Services, Inc. — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – David Albert Ross (David Ross) Suspended from Securities Industry and Fired by Woodbury Financial Services, Inc. From 2010 until David Ross’ firing in 2016, David Ross was licensed with Woodbury Financial Services, Inc. According to FINRA’s records, David Ross was fired by Woodbury Financial Services, Inc. on April 15, 2016. Woodbury Financial …
Jeffrey Lee Anderson (Sparky Anderson) Barred from Securities Industry and Fired by FSC Securities Corporation — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Jeffrey Lee Anderson (Sparky Anderson) Barred from Securities Industry and Fired by FSC Securities Corporation From 2010 until 2015, Sparky Anderson was licensed with FSC Securities Corporation. According to FINRA’s records, Sparky Anderson was fired by FSC Securities Corporation on January 24, 2013. FSC Securities Corporation reported to FINRA that Sparky Anderson …
Steven Eugene Bonner (Steven Bonner) Barred from Securities Industry and Fired by Principal Securities, Inc. — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Steven Eugene Bonner (Steven Bonner) Barred from Securities Industry and Fired by Principal Securities, Inc. From 2010 until Steven Bonner’s firing in 2017, Steven Bonner was licensed with Principal Securities, Inc. According to FINRA’s records, Steven Bonner was fired by Principal Securities, Inc. on February 8, 2017. Principal Securities, Inc. reported to …
Justin Brian Mitchell (Justin Mitchell) Under Investigation by FINRA and Fired by LPL Financial LLC — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Justin Brian Mitchell (Justin Mitchell) Under Investigation by FINRA and Fired by LPL Financial LLC From 2009 until Justin Mitchell’s firing in 2017, Justin Mitchell was licensed with LPL Financial LLC. Justin Mitchell is now licensed with Capital Financial Services, Inc. According to FINRA’s records, Justin Mitchell was fired by LPL Financial …
Michael Edward Olinde (Mike Olinde) Under Investigation by FINRA and Fired by LPL Financial LLC — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Michael Edward Olinde (Mike Olinde) Under Investigation by FINRA and Fired by LPL Financial LLC From 2009 until Mike Olinde’s firing in 2017, Mike Olinde was licensed with LPL Financial LLC. Mike Olinde is now licensed with Capital Financial Services, Inc. According to FINRA’s records, Mike Olinde was fired by LPL Financial …
Anthony Paul Lombardi (Anthony Lombardi) of Capital Financial Services, Inc., Suspended from Securities Industry — Goodman & Nekvasil P.A, May Recover Investor Losses on General Partnership Investments
Goodman & Nekvasil P.A, May Recover Investor Losses on General Partnership Investments – Anthony Paul Lombardi (Anthony Lombardi) Formerly Licensed with Capital Financial Services, Inc., Suspended from Securities Industry From 2013 until 2015, Anthony Lombardi was licensed with Capital Financial Services, Inc. Anthony Lombardi was previously licensed with Centaurus Financial, Inc. FINRA brought a disciplinary action against Anthony Lombardi in 2016. …
Chad Daniel Hornaday (Chad Hornaday) Barred from the Securities Industry and Permitted to Resign from AXA Advisors, LLC — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Chad Daniel Hornaday (Chad Hornaday) Barred from the Securities Industry and Permitted to Resign from AXA Advisors, LLC From 2013 until Chad Hornaday’s resignation in 2016, Chad Hornaday was licensed with AXA Advisors, LLC. Chard Hornaday was previously licensed with National Planning Corporation. According to FINRA’s records, Chad Hornaday was permitted to resign …
Michael Joseph Cortes (Mike Cortes) Suspended from Securities Industry and Fired by MetLife Securities Inc. — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Michael Joseph Cortes (Mike Cortes) Suspended from Securities Industry and Fired by MetLife Securities Inc. From 2003 until Mike Cortes’s firing in 2015, Mike Cortes was licensed with MetLife Securities Inc. According to FINRA’s records, Mike Cortes was fired by MetLife Securities Inc. on March 23, 2015. MetLife Securities Inc. reported to …