Goodman & Nekvasil P.A., May Recover Investor Losses – Shannan Maureen Denison (Shannan Denison) Fired by Ameriprise Financial Services, Inc. Twice From 2001 until Shannan Denison’s first firing in 2011, and from 2012 until Shannon Denison’s second firing in 2013, Shannan Denison was licensed with Ameriprise Financial Services, Inc. Shannan Denison is now licensed with International Assets Advisory, LLC. According to …
James Aloysius Conwell II (Jim Conwell) Licensed with International Assets Advisory, LLC and Formerly Licensed with WFG Investments, Inc. Suspended from Securities Industry – Goodman & Nekvasil P.A., May Recover Your Investment Losses
Goodman & Nekvasil P.A., May Recover Your Investment Losses – James Aloysius Conwell II (Jim Conwell) Licensed with International Assets Advisory, LLC and Formerly Licensed with WFG Investments, Inc. Suspended from Securities Industry Jim Conwell has been licensed with International Assets Advisory, LLC since July 2017. Jim Conwell was previously licensed with WFG Investments, Inc. from 2010 to 2017. Jim Conwell …
Siddharth P. Reddy (Siddharth Reddy) Formerly Licensed with Newbridge Securities Corporation – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Siddharth P. Reddy (Siddharth Reddy) Formerly Licensed with Newbridge Securities Corporation From March 2010 until August 2012, Siddharth Reddy was licensed with Newbridge Securities Corporation. Siddharth Reddy is licensed with E1 Asset Management, Inc. FINRA reports that three arbitration claims were filed involving Siddharth Reddy’s conduct with Newbridge Securities Corporation alleging unsuitable securities …
Joseph Beagnyam Suspended from Securities Industry – Goodman & Nekvasil P.A., May Recover Your Investment Losses
Goodman & Nekvasil P.A., May Recover Your Investment Losses – Joseph Beagnyam Suspended from Securities Industry Joseph Beagnyam has been licensed with International Assets Advisory, LLC since August 2013. Joseph Beagnyam was previously licensed with Independent Financial Group, LLC and Ameriprise Financial Services, Inc. Joseph Beagnyam was suspended from the securities and investment banking industry in all capacities for 10 days …
Andrew Bain Rogers (Andrew Rogers) Licensed with Morgan Stanley – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Andrew Bain Rogers (Andrew Rogers) Licensed with Morgan Stanley Since 2010, Andrew Rogers has been licensed with Morgan Stanley. FINRA reports that an arbitration claim was filed involving Andrew Rogers’ conduct with Morgan Stanley alleging that three mutual funds were misrepresented as being permissible investments for the Credit Union. This arbitration claim …
Patrick Henry Maddren (Patrick Maddren) Formerly Licensed with Dawson James Securities, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Patrick Henry Maddren (Patrick Maddren) Formerly Licensed with Dawson James Securities, Inc. Since August 2017, Patrick Maddren has been licensed with WestPark Capital, Inc. Patrick Maddren was previously licensed with Laidlaw & Company (UK) Ltd. and Dawson James Securities, Inc. FINRA reports that an arbitration claim was filed involving Patrick Maddren’s conduct …
John Kenneth Pritchard (John Pritchard) Formerly Licensed with Janney Montgomery Scott LLC – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – John Kenneth Pritchard (John Pritchard) Formerly Licensed with Janney Montgomery Scott LLC Since 2016, John Pritchard has been licensed with Aegis Capital Corp. John Pritchard was previously licensed with Janney Montgomery Scott LLC, Raymond James & Associates, Inc., and Morgan Keegan & Company, Inc. FINRA reports that two arbitration claims were filed …
Omar Ibrahim Hassan (Omar Hassan) licensed with PHX Financial, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Omar Ibrahim Hassan (Omar Hassan) licensed with PHX Financial, Inc. Since 2013, Omar Hassan has been licensed with PHX Financial, Inc. FINRA reports that an arbitration claim involving Omar Hassan’s conduct with Omar Hassan’s prior brokerage firm was filed, alleging failure to disclose material risks and failure to recommend suitable investments. This …
Clark Fernando Gambarrotti (Clark Gambarrotti) Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Clark Fernando Gambarrotti (Clark Gambarrotti) Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated From 2013 until Clark Gambarrotti’s discharge in 2016, Clark Gambarrotti was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Clark Gambarrotti was previously licensed with TD Ameritrade, Inc. According to FINRA’s records, Clark Gambarrotti was discharged from …
Bryan Preston Lubitz (Bryan Lubitz), Aegis Capital Corp. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Bryan Preston Lubitz (Bryan Lubitz) Licensed with Aegis Capital Corp. Since 2015, Bryan Lubitz has been licensed with Aegis Capital Corp. Bryan Lubitz was previously licensed with Newbridge Securities Corporation and Trident Partners Ltd. FINRA reports that two arbitration claims were filed involving Bryan Lubitz’ conduct with Newbridge Securities Corporation and/or Trident …