Goodman & Nekvasil P.A., May Recover Investor Losses – Kenneth Leopold Williams (Kenneth Williams) Permitted to Resign from WestPark Capital, Inc. From February 2017 until Kenneth Williams’ resignation in June 2017, Kenneth Williams was licensed with WestPark Capital, Inc. Kenneth Williams is now licensed with Fordham Financial Management, Inc and also worked for J.H. Darbie & Co., Inc. and First Standard …
Mack Miller – Financial Advisor Mack Miller Permitted to Resign from Dawson James Securities
Goodman & Nekvasil P.A., May Recover Investor Losses | Mack Miller – Financial Advisor Mack Miller Permitted to Resign from Dawson James Securities Mack Miller CRD #2822317 From May 2016 until Mack Miller’s resignation in April 2017, Mack Miller was licensed with Dawson James Securities. Mack Miller is now licensed with Spartan Capital Securities, LLC. Mack Miller is also licensed …
Steve Ridgley – Financial Advisor Steve Ridgley Suspended from Securities Industry
Steve Ridgley – Financial Advisor Steve Ridgley Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Steven Ridgley CRD #4263203 From 2000 until Steven Ridgley’s firing in 2015, Steven Ridgley was licensed with Waddell & Reed, Inc. Steven Ridgley was subsequently licensed with International Assets Advisory, LLC. According to FINRA’s records, Steven Ridgley was fired by Waddell …
John Robert Russell (John Russell) Permitted to Resign from ProEquities, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – John Robert Russell (John Russell) Permitted to Resign from ProEquities, Inc. From 2005 until John Russell’s resignation in 2016, John Russell was licensed with ProEquities, Inc. John Russell is now licensed with International Assets Advisory, LLC. According to FINRA’s records, John Russell was permitted to resign from ProEquities, Inc. on December 22, …
Clinton Brian Galyean (Clinton Galyean) Permitted to Resign from ProEquities, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Clinton Brian Galyean (Clinton Galyean) Permitted to Resign from ProEquities, Inc. From 2005 until Clinton Galyean’s resignation in 2017, Clinton Galyean was licensed with ProEquities, Inc. Clinton Galyean is now licensed with International Assets Advisory, LLC. According to FINRA’s records, Clinton Galyean was permitted to resign from ProEquities, Inc. on January 19, …
Don Lee Ferrari (Don Ferrari) Formerly Licensed with Arete Wealth Management, LLC – Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Don Lee Ferrari (Don Ferrari) Formerly Licensed with Arete Wealth Management, LLC Don Ferrari was licensed with Arete Wealth Management, LLC and International Assets Advisory, LLC. FINRA reports that an arbitration claim was filed involving Don Ferrari’s conduct alleging unsuitable recommendations. This arbitration claim involving Don Ferrari’s conduct was settled for $247,500. …
Shannan Maureen Denison (Shannan Denison) Fired by Ameriprise Financial Services, Inc. Twice – Goodman & Nekvasil P.A., May Recover Investor Losses
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 …