Terry Dean Bahgat (Tarek Bahgat) Formerly Licensed with Cambridge Investment Research, Inc., Barred from Securities Industry and Accused of Theft – Goodman & Nekvasil P.A, May Recover Investor Losses From 2010 until 2015, Tarek Bahgat was licensed with Cambridge Investment Research, Inc. Tarek Bahgat was then licensed with Gradient Securities, LLC. FINRA brought a disciplinary action against Tarek Bahgat in 2017. …
Leah Rebecca Bullen (Leah Bullen) Fired by Wells Fargo Advisors, LLC — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Leah Rebecca Bullen (Leah Bullen) Fired by Wells Fargo Advisors, LLC From 2008 until Leah Bullen’s firing in 2016, Leah Bullen was licensed with Wells Fargo Advisors, LLC According to FINRA’s records, Leah Bullen was fired by Wells Fargo Advisors, LLC on January 7, 2016. Wells Fargo Advisors, LLC reported to FINRA …
Leonard Voris Fox Jr. (Leonard Fox) Formerly Licensed with FSC Securities Corporation, Barred from Securities Industry — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Leonard Voris Fox Jr. (Leonard Fox) Formerly Licensed with FSC Securities Corporation, Barred from Securities Industry From 2013 until 2016, Leonard Fox was licensed with FSC Securities Corporation. Leonard Fox was previously licensed with Morgan Stanley. FINRA brought a disciplinary action against Leonard Fox in 2016. Leonard Fox consented to a bar …
David E. Kuntz (David Kuntz) Permitted to Resign from National Planning Corporation — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – David E. Kuntz (David Kuntz) Permitted to Resign from National Planning Corporation From 2005 until David Kuntz’ resignation in 2013, David Kuntz was licensed with National Planning Corporation. After that, David Kuntz was licensed with Berthel, Fisher & Company Financial Services, Inc. According to FINRA’s records, David Kuntz was permitted to resign from …
William Jeremiah Thompson (William Thompson) a/k/a William Jerry Thompson Fired by Investacorp, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses on Conservation Easements
Goodman & Nekvasil P.A., May Recover Investor Losses on Conservation Easements – William Jeremiah Thompson (William Thompson) a/k/a William Jerry Thompson Fired by Investacorp, Inc. From 2012 until William Thompson’s firing in 2015, William Thompson was licensed with Investacorp, Inc. William Thompson was previously licensed with Ameriprise Financial Services, Inc. William Thompson is now licensed with Kestra Investment Services, LLC. According …
Julie Ann Smith (Julie Smith-Stotzer) Formerly Licensed with Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
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 …
Kevin Peter Smith (Kevin Smith) Fired by Morgan Stanley Smith Barney LLC – Goodman & Nekvasil P.A., May Recover Investor Losses on Structured Notes
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 …
Scott Nolan Smith (Scott Smith) Suspended from Securities Industry and Fired by Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses on Covered Call Strategy
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 …
William Ware Smith Jr. (William Smith) Formerly Licensed with UBS Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
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 …
Kane Kei Cheung Wong (Kane Wong) Fired by J.P. Morgan Securities LLC – Goodman & Nekvasil P.A., May Recover Investor Losses
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 …