Joan Norton – Arbitration Claim Filed Involving Financial Advisor Joan Norton | Goodman & Nekvasil PA May Recover Investor Losses Joan Norton CRD #1777913 From August 2009 to May 2016, Joan Norton was licensed with Ausdal Financial Partners, Inc. Joan Norton is now licensed with International Assets Advisory, LLC. FINRA reports that an arbitration claim involving Joan Norton’s conduct with …

Goodman & Nekvasil P.A, May Recover Investor Losses – Hernan Perez Fired by Signator Investors, Inc.  From 1994 until Hernan Perez’ firing in 2015, Hernan Perez was licensed with Signator Investors, Inc. Hernan Perez is now licensed with Thrivent Investment Management, Inc. According to FINRA’s records, Hernan Perez was fired by Signator Investors, Inc. on December 21, 2015. Signator Investors, Inc. …

Goodman & Nekvasil P.A, May Recover Investor Losses – Jenee Peters Formerly Licensed with Oppenheimer & Co., Inc.  From 2010 to 2016 Jenee Peters was licensed with Oppenheimer & Co., Inc. FINRA reports that an arbitration claim involving Jenee Peters’ conduct with Oppenheimer & Co., Inc., was filed in March 2014. The claim alleged negligence, unsuitable recommendations, negligent management of the …

Goodman & Nekvasil P.A, May Recover Investor Losses – David Leonard Potter Fired by LaSalle St. Securities, L.L.C. From 2010 to 2013, David Potter was licensed with LaSalle St. Securities, L.L.C. According to FINRA’s records David Potter was fired from LaSalle St. Securities, L.L.C. on May 13, 2013. LaSalle St. Securities, L.L.C. reported to FINRA that David Potter’s firing was related …

Goodman & Nekvasil P.A, May Recover Investor Losses – Walter Priebe Fired by Investacorp, Inc. From 1989 to 2014, Walter Priebe was licensed with Investacorp, Inc. Walter Priebe is now licensed with Newbridge Securities Corporation. According to FINRA’s records Walter Priebe was fired from Investacorp, Inc. on July 1, 2014. Investacorp, Inc. reported to FINRA that Walter Priebe acted in a …

Goodman & Nekvasil P.A, May Recover Investor Losses – John Jairo Quintero (John Quintero) Formerly Licensed with Transamerica Financial Advisors, Inc. From 2002-2016, John Quintero was licensed with Transamerica Financial Advisors, Inc. John Quintero is now licensed with Cambridge Investment Research, Inc. FINRA reports that two arbitration claims have been filed involving John Quintero’s conduct with Transamerica Financial Advisors, Inc. These …

Goodman & Nekvasil P.A, May Recover Investor Losses – Jeffrey Krupnick Named in FINRA Disciplinary Action From 2008 until Jeffrey Krupnick’s resignation in 2014, Jeffrey Krupnick was licensed with Wells Fargo Advisors, LLC. Jeffrey Krupnick is now licensed with Ameriprise Financial Services, Inc. after also being licensed with JHS Capital Advisors, LLC. According to FINRA’s records, Jeffrey Krupnick resigned from Wells …

Goodman & Nekvasil P.A, May Recover Your Investment Losses on Puerto Rico Bonds or other Investments – Samuel Koltun Licensed with RBC Capital Markets, LLC  Samuel Koltun CRD #1739664 Samuel Koltun has been licensed with RBC Capital Markets, LLC since October 2009. FINRA reports that four arbitration claims have been filed during Samuel Koltun’s employment with RBC Capital Markets, LLC. These …

Goodman & Nekvasil P.A, May Recover Investor Losses – Thomas Blair Johnston Permitted to Resign from Cetera Advisor Networks, LLC From 2013 until Thomas Johnston’s resignation in 2014, Thomas Johnston was licensed with Cetera Advisor Networks, LLC. Thomas Johnston is now licensed with International Assets Advisory, LLC, and was previously licensed with Thrivent Investment Management, Inc. According to FINRA’s records, Thomas …

Goodman & Nekvasil P.A., May Recover Investor Losses on Puerto Rico Bonds and Closed-End Funds – Luis Rosario Licensed with UBS Financial Services, Inc.  From 2007 until 2014, Luis Rosario was licensed with UBS Financial Services, Inc. Luis Rosario is now licensed with Oppenheimer & Co. Inc. FINRA reports that six arbitration claims were filed involving Luis Rosario’s conduct with UBS …