Goodman & Nekvasil P.A., May Recover Investor Losses – Kelly Renae Brantley Fired by Summit Brokerage Services and Edward Jones  From 2001 to 2012 Kelly Brantley was licensed with Edward Jones. From 2012 to 2014 Kelly Brantley was licensed with Summit Brokerage Services. Kelly Brantley was subsequently licensed with FSC Securities Corporation. According to FINRA’s records Kelly Brantley was fired by …

Goodman & Nekvasil P.A., May Recover Investor Losses – Carlos Benavidez Jr. (Carlos Benavidez) Suspended from Securities Industry and Fired by Waddell & Reed, Inc. From 2006 to 2015, Carlos Benavidez was licensed with Waddell & Reed, Inc. Carlos Benavidez was subsequently licensed with International Assets Advisory, LLC. According to FINRA’s records, Carlos Benavidez was fired by Waddell & Reed, Inc. …

Goodman & Nekvasil P.A., May Recover Investor Losses – James Singcham Ho (James Ho) Suspended from Securities Industry and Fired by Ameritas Investment Corp. From 2009 until James Ho’s firing in 2014, James Ho was licensed with Ameritas Investment Corp. According to FINRA’s records, James Ho was fired by Ameritas Investment Corp. on November 10, 2014. Ameritas Investment Corp. reported to …

Goodman & Nekvasil P.A., May Recover Investor Losses – Andrew Anthony Uccelli (Tony Uccelli) Suspended from Securities Industry and Fired by First Allied Securities, Inc.  From 2002 until Tony Uccelli’s firing in 2015, Tony Uccelli was licensed with First Allied Securities, Inc. Tony Uccelli is now licensed with Western International Securities, Inc. According to FINRA’s records, Tony Uccelli was fired by …

Goodman & Nekvasil P.A., May Recover Investor Losses – David Randall Lockey (David Lockey) Suspended from Securities Industry and Fired by Edward Jones From 2009 until David Lockey’s firing in 2012, David Lockey was licensed with Edward Jones. David Lockey was subsequently licensed with SWS Financial Services, Inc. According to FINRA’s records, David Lockey was fired by Edward Jones on March …

Goodman & Nekvasil P.A., May Recover Investor Losses – William Scott Sheehan (Scott Sheehan) Licensed with DFPG Investments, Inc.  Scott Sheehan was licensed with Investors Capital Corp. from 2010 to 2012. Scott Sheehan is now licensed with DFPG Investments, Inc. FINRA reports that three arbitration claims have been filed involving Scott Sheehan’s conduct with Investors Capital Corp., alleging financial damages and/or …

Goodman & Nekvasil P.A, May Recover Investor Losses – Ka Kiertonkaysy Lor (Ka Lor) Barred from Securities Industry and Fired by Farmers Financial Solutions, LLC From 2008 until Ka Lor’s firing in 2014, Ka Lor was licensed with Farmers Financial Solutions, LLC. According to FINRA records, Ka Lor was fired by Farmers Financial Solutions, LLC on May 1, 2014. Farmers Financial …

Goodman & Nekvasil P.A, May Recover Investor Losses – Michael Willard Korson (Michael Korson) Barred from Securities Industry and Permitted to Resign from PFS Investments Inc.  From 1991 until Michael Korson’s resignation in 2013, Michael Korson was licensed with PFS Investments Inc. Michael Korson was subsequently licensed with HBW Securities LLC. According to FINRA records, Michael Korson was permitted to resign …

Goodman & Nekvasil P.A, May Recover Investor Losses – Barkley JW Lundy Jr. a.k.a Mike Lundy Jr. (Mike Lundy) Barred from Securities Industry and Fired by PFS Investments Inc.  From 1992 until Mike Lundy’s firing in 2014, Mike Lundy was licensed with PFS Investments Inc. According to FINRA records, Mike Lundy was fired on August 14, 2014. PFS Investments Inc. reported …

Goodman & Nekvasil P.A, May Recover Investor Losses – Ka Keung Lam (Eric Lam) Barred from Securities Industry and Fired by Pruco Securities, LLC.  From 2011 until Eric Lam’s firing in 2016, Eric Lam was licensed with Pruco Securities, LLC. According to FINRA records, Eric Lam was fired on April 26, 2016. Pruco Securities, LLC. reported to FINRA that Eric Lam …