Goodman & Nekvasil P.A., May Recover Investor Losses – Augusto La Puente Fired by Wells Fargo Advisors, LLC  From 2012 until Augusto La Puente’s firing in 2013, Augusto La Puente was licensed with Wells Fargo Advisors, LLC. Augusto La Puente is now licensed with Park Avenue Securities, LLC. According to FINRA’s records, Augusto La Puente was fired by Wells Fargo Advisors, …

Goodman & Nekvasil P.A., May Recover Investor Losses – Colin Patrick Kelly Resigned from Wells Fargo Advisors, LLC  From June 2015 until Colin Kelly’s resignation in July 2015, Colin Kelly was licensed with Wells Fargo Advisors, LLC. Colin Kelly is now licensed with AXA Advisors, LLC. According to FINRA’s records, Colin Kelly resigned from Wells Fargo Advisors, LLC on July 3, …

Goodman & Nekvasil P.A., May Recover Losses on Puerto Rico Municipal Bonds or Other Investments – Pete Ingraham, Morgan Stanley Since 2009, Pete Ingraham has been licensed with Morgan Stanley. FINRA reports that two complaints and/or arbitration claims were filed involving Pete Ingraham’s conduct with Morgan Stanley alleging unauthorized trading and/or misrepresentation of Puerto Rico Municipal Bonds as guaranteed. These complaints …

Marie Galke Licensed with AXA Advisors, LLC – Goodman & Nekvasil P.A., May Recover Investor Losses  Since 2013, Marie Galke has been licensed with AXA Advisors, LLC. FINRA reports that an arbitration claim was filed involving Marie Galke’s conduct with AXA Advisors, LLC, alleging Marie Galke made unsuitable recommendations in the purchase of an incentive life insurance policy in 2014. …

Goodman & Nekvasil P.A., May Recover Investor Losses – Milton Smith Helm Jr. Licensed with UBS Financial Services, Inc.  Since 2005, Milton Helm Jr. has been licensed with UBS Financial Services, Inc. FINRA reports that two arbitration claims were filed involving Milton Helm Jr.’s conduct with UBS Financial Services, Inc. alleging unauthorized trading, and/or unsuitable investments. These arbitration claims involving Milton …

Goodman & Nekvasil P.A., May Recover Investor Losses – Jonathan Layne Heise Fired by Cetera Advisor Networks LLC From 2015 until Jonathan Heise’s firing in 2016, Jonathan Heise was licensed with Cetera Advisor Networks LLC. Jonathan Heise was previously licensed with Trade-PMR Inc. According to FINRA’s records, Jonathan Heise was fired by Cetera Advisor Networks LLC on September 27, 2016. Cetera …

Goodman & Nekvasil P.A., May Recover Investor Losses – Daniel Edgar Gerena Fired by Wells Fargo Advisors, LLC  From 2004 until Daniel Gerena’s firing in 2016, Daniel Gerena was licensed with Wells Fargo Advisors, LLC Daniel Gerena is now licensed with SunTrust Investment Services, Inc. According to FINRA’s records, Daniel Gerena was fired by Wells Fargo Advisors, LLC on February 16, …

Goodman & Nekvasil P.A., May Recover Investor Losses – Patrick Olivier Duquenne Fired by Morgan Stanley From 2011 until Patrick Duquenne’s firing in 2013, Patrick Duquenne was licensed with Morgan Stanley. According to FINRA’s records, Patrick Duquenne was fired by Morgan Stanley on June 12, 2013. Morgan Stanley reported to FINRA that Patrick Duquenne’s firing related to allegations that Patrick Duquenne …

Goodman & Nekvasil P.A, May Recover Investor Losses on REITs and Leaf Equipment Financing Funds – Donna Prisciantelli Desanctis Licensed with Ameriprise Financial Services, Inc. Since 2011, Donna Desanctis has been licensed with Ameriprise Financial Services, Inc. Donna Desanctis was previously licensed with VOYA Financial Advisors, Inc. f/k/a ING Financial Partners, Inc. FINRA reports that two arbitration claims were filed involving Donna …

Goodman & Nekvasil P.A., May Recover Investor Losses | Steven Fonda – Financial Advisor Steven Fonda Discharged from Waddell & Reed, Inc.  Steven Fonda CRD #2198086 From 2009 until Steven Fonda’s firing in 2017, Steven Fonda was licensed with Waddell & Reed, Inc. According to FINRA records, Steven Fonda was discharged from Waddell & Reed on January 12, 2017. Waddell …