Kenneth Bostian Neuner (Kenneth Neuner) Fired by Summit Brokerage Services, Inc. and Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses From 2016 until Kenneth Neuner’s firing in 2017, Kenneth Neuner was licensed with Summit Brokerage Services, Inc. Kenneth Neuner has also licensed with TCFG Wealth Management, LLC and VSR Financial Services, Inc. According to FINRA’s …
Edward Frederick Gardner (Edward Gardner) Licensed with Wells Fargo Advisors, LLC, Suspended from Securities Industry – Goodman & Nekvasil P.A., May Recover Your Investment Losses
Goodman & Nekvasil P.A., May Recover Your Investment Losses – Edward Frederick Gardner (Edward Gardner) Formerly Licensed with Wells Fargo Advisors, LLC, Suspended from Securities Industry Edward Gardner was licensed with Wells Fargo Advisors, LLC from 2003 to 2013. Edward Gardner was suspended from the securities and investment banking industry for 15 days and fined $5,000 by the Financial Industry Regulatory …
James Robert Blinkhorn (James Blinkhorn) Formerly Licensed with Wedbush Securities, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses on Leveraged ETFs
Goodman & Nekvasil P.A., May Recover Investor Losses on Leveraged ETFs – James Robert Blinkhorn (James Blinkhorn) Formerly Licensed with Wedbush Securities, Inc. James Blinkhorn was licensed with Chelsea Financial Services since 2015. James Blinkhorn was previously licensed with Wedbush Securities, Inc. FINRA reports that two complaints and/or arbitration claims were filed involving James Blinkhorn’s conduct with Wedbush Securities, Inc. and investments …
Michael Bruce Ralby (Michael Ralby) Licensed with Morgan Stanley – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Michael Bruce Ralby (Michael Ralby) Licensed with Morgan Stanley Since 2013, Michael Ralby has been licensed with Morgan Stanley. Michael Ralby was previously licensed with Oppenheimer & Co. Inc. FINRA reports that a complaint was filed involving Michael Ralby’s conduct with Morgan Stanley alleging unauthorized trading. This complaint involving Michael Ralby’s conduct …
Rinaldo Dominik Crassa (Rinaldo Crassa) Formerly Licensed with HSBC Securities (USA) Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Rinaldo Dominik Crassa (Rinaldo Crassa) Formerly Licensed with HSBC Securities (USA) Inc. From 2013 until Rinaldo Crassa’s resignation in 2016, Rinaldo Crassa was licensed with HSBC Securities (USA) Inc. Rinaldo Crassa is now licensed with Ameriprise Financial Services, Inc. and was previously licensed with SIP Nordic America LLC. According to FINRA’s records, …
Tobias Gustav Vogelsang (Tobias Vogelsang) Formerly Licensed with Newbridge Securities Corporation – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Tobias Gustav Vogelsang (Tobias Vogelsang) Formerly Licensed with Newbridge Securities Corporation Tobias Vogelsang was licensed with Newbridge Securities Corporation from 2004 to 2012. FINRA reports that two arbitration claims were filed involving Tobias Vogelsang’s conduct with Newbridge Securities Corporation alleging breach of fiduciary duty, fraud, negligent supervision, breach of contract, churning and/or …
Kenneth Leopold Williams (Kenneth Williams) Permitted to Resign from WestPark Capital, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
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, …