Goodman & Nekvasil P.A. May Recover Investor Losses | Kimberly Kitts, Formerly Licensed Financial Advisor Pleads Guilty to Charges Kimberly Kitts CRD #2768200 Kimberly Kitts Pleads Guilty On November 19, 2018, Kimberly Kitts, a Cape Cod-area investment adviser, pleaded guilty to criminal charges filed by the U.S. Attorney for the District of Massachusetts. According to the SEC, Kimberly Kitts admitted to investment …
James Kujawski Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | James Kujawski Financial Advisor Suspended from Securities Industry James Kujawski is a licensed financial advisor with Ameriprise Financial Services, Inc. James Kujawski was previously licensed with UBS Financial Services, Inc. FINRA reports that James Kujawski was discharged from UBS Financial Services, Inc. on February 20, 2018. UBS Financial Services, Inc. reported to …
Robert Basile (Bob Basile) Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Robert Basile (Bob Basile) Financial Advisor Barred from Securities Industry Robert Basile (Bob Basile) was a formerly licensed financial advisor with Park Avenue Securities LLC and Waddell & Reed. FINRA reports that Robert Basile (Bob Basile) was barred from the securities industry on November 16, 2018. FINRA reports that that Robert Basile …
Cheryl Stallings, Financial Advisor Cheryl Stallings Barred from Securities Industry
Goodman & Nekvasil P.A., May Recover Investor Losses | Cheryl Stallings, Financial Advisor Cheryl Stallings Barred from Securities Industry Cheryl Stallings CRD #1162913 Cheryl Stallings was a formerly licensed financial advisor with Kestra Investment Services, LLC and LPL Financial LLC. FINRA reports that Cheryl Stallings was discharged from LPL Financial LLC on July 6, 2017. LPL Financial LLC reported to FINRA …
William Upchurch Jr, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | William Upchurch Jr, Financial Advisor Barred from Securities Industry William Upchurch was a formerly licensed financial advisor with PFS Investments, Inc. from 1983 to 2015. FINRA reports that William Upchurch was discharged from PFS Investments, Inc. on May 12, 2015. PFS Investments, Inc. reported to FINRA that William Upchurch allegedly sold fictitious …
Frank Zito, Financial Advisor Discharged from Merrill Lynch | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Frank Zito, Financial Advisor Discharged from Merrill Lynch Frank Zito was a formerly licensed financial advisor with Merrill Lynch from 2010 to 2018. FINRA reports that Frank Zito was discharged from the securities and investment banking industry on June 25, 2018. Merrill Lynch reported to FINRA that Frank Zito allegedly failed to …
Stephen Coupe, Financial Advisor Stephen Coupe Fined by State of Washington Securities Division
Goodman & Nekvasil P.A., May Recover Investor Losses | Stephen Coupe, Financial Advisor Stephen Coupe Fined by State of Washington Securities Division Stephen Coupe CRD #2061979 From 2008 until Stephen Coupe’s discharge in 2017, Stephen Coupe was licensed with First Allied Securities, Inc. According to FINRA’s records, Stephen Coupe was discharged from First Allied Securities on April 12, 2017. First Allied …
Matthew Woodard, Formerly Licensed Financial Advisor Barred from Securities Industry by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses
Goodman & Nekvasil P.A. May Recover Investor Losses | Matthew Woodard, Formerly Licensed Financial Advisor Barred from Securities Industry by SEC Securities and Exchange Commission Bars Matthew Woodard, Formerly Licensed Financial Advisor The SEC reports that from September 12, 2013 through August 18, 2014, Matthew Woodard was an associated person and registered representative of ProEquities, Inc. (“ProEquities”), which is dually registered with …
Charles Stivers, Former Financial Advisor Admits to Violating Colorado Securities Act | Goodman & Nekvasil P.A. May Recover Investor Losses
Charles Stivers, Formerly Licensed Financial Advisor Admits to Violating Colorado Securities Act | Goodman & Nekvasil P.A. May Recover Investor Losses Colorado Securities Division Sanctions Charles Stivers Colorado Securities Commissioner Gerald Rome signed a cease and desist order today after Charles Stivers admitted to violating the Colorado Securities Act through the pursuit of investments in his company, Aim High Holdings, …
Robert Roach III, FINRA Investigation Pending Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Robert Roach III, FINRA Investigation Pending Against Financial Advisor From 2007 until Robert Roach’s discharge in 2018, Robert Roach was licensed with Raymond James Financial Services, Inc. According to FINRA’s records, Robert Roach was discharged from Raymond James Financial Services Advisors, Inc. on May 7, 2018. Raymond James Financial Services Advisors, Inc. …