Goodman & Nekvasil P.A, May Recover Investor Losses – Buford Wendell Ford, Jr. (Buford Ford) Licensed with PFS Investments Inc. Since 1995, Buford Ford has been licensed with PFS Investments Inc. in Davie Florida. FINRA reports nine arbitration claims/complaint were filed alleging sales practice violations against Buford Ford. The claims alleged, among other things, misstatements related to employee’s decision to transfer …

Goodman & Nekvasil P.A., May Recover Investor Losses – Thomas Edward Stratton-Crooke (Thomas Stratton-Crooke) Suspended from Securities Industry and Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated From 1989 until Thomas Stratton-Crooke’s firing in 2014, Thomas Stratton-Crooke was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Thomas Stratton-Crooke was subsequently licensed with Ameriprise Financial Services, Inc. According to FINRA’s …

Goodman & Nekvasil P.A., May Recover Investor Losses – James Michael Vaughn (Mike Vaughn) Suspended from Securities Industry and Fired by Edward Jones From 1998 until Mike Vaughn’s firing in 2014, Mike Vaughn was licensed with Edward Jones. Mike Vaughn is now licensed with The Strategic Financial Alliance, Inc. According to FINRA’s records, Mike Vaughn was fired by Edward Jones on …

Goodman & Nekvasil P.A., May Recover Investor Losses – William Benton Guido (BJ Guido) Suspended from Securities Industry and Fired by LPL Financial LLC From March 2014 until BJ Guido’s firing in December 2014, BJ Guido was licensed with LPL Financial LLC. BJ Guido was previously licensed with FSC Securities Corporation and Wells Fargo Advisors Financial Network, LLC. According to FINRA’s …

Goodman & Nekvasil P.A., May Recover Investor Losses – Mike Donovan Woodward (Mike Woodward) Suspended from Securities Industry and Fired by Summit Brokerage Services, Inc. From August 2010 until Mike Woodward’s firing in July 2012, Mike Woodward was licensed with Summit Brokerage Services, Inc. According to FINRA’s records, Mike Woodward was fired by Summit Brokerage Services, Inc. on July 3, 2012. …

Goodman & Nekvasil P.A., May Recover Investor Losses – Ronald Fair Paull III (Ronald Paull) Suspended from Securities Industry and Fired by LPL Financial LLC From 2012 until Ronald Paull’s firing in 2015, Ronald Paull was licensed with LPL Financial LLC. Ronald Paull is now licensed with Cambridge Investment Research, Inc. Ronald Paull was previously licensed with National Planning Corporation. According …

Goodman & Nekvasil P.A., May Recover Investor Losses – Jeffry Benjamin Vargas (Jeffrey Vargas) Suspended from Securities Industry and Fired by Wells Fargo Advisors, LLC From 2010 until Jeffrey Vargas’ firing in 2015, Jeffrey Vargas was licensed with Wells Fargo Advisors, LLC. Jeffrey Vargas was subsequently licensed with Mutual Securities, Inc. and Western International Securities, Inc. Jeffrey Vargas is now licensed …

Goodman & Nekvasil P.A., May Recover Investor Losses – Swan Sihua Shen (Swan Shen) a/k/a Swan Zhang Suspended from Securities Industry and Fired by CUNA Brokerage Services, Inc. From 2001 until Swan Shen’s firing in 2013, Swan Shen was licensed with CUNA Brokerage Services, Inc. Swan Shen was subsequently licensed with Cantella & Co., Inc. Swan Shen is now licensed with …

Goodman & Nekvasil P.A., May Recover Investor Losses – James Alan Issel (James Issel) Fired by Mack Investment Securities, Inc.  From 2004 to 2011, James Issel was licensed with Mack Investment Securities, Inc. James Issel is now licensed with Cetera Advisor Networks, LLC. According to FINRA’s records James Issel was fired from Mack Investment Services, Inc. on November 18, 2011. Mack …

Goodman & Nekvasil P.A., May Recover Investor Losses – Brion Patrick Harris (Brion Harris) Fired by Lincoln Financial Securities Corporation Since 2013, Brion Harris has been licensed with Summit Brokerage Services, Inc. Brion Harris was previously licensed with Cambridge Investment Research, Inc. and Lincoln Financial Securities Corporation. According to FINRA’s records Brion Harris was fired by Lincoln Financial Securities Corporation on …