Goodman & Nekvasil P.A., May Recover Losses on REIT Investments – Lori Cousineau Weaver (Lori Weaver) a/k/a Lori Ann Cousineau Formerly Licensed with Ameriprise Financial Services, Inc. Suspended from Registration as a Securities Salesperson by the State of Washington Lori Weaver was licensed with Ameriprise Financial Services, Inc. from 1989 to 2015. Lori Weaver was subsequently licensed with UBS Financial Services …
William Carl Schmid (William Schmid) Formerly Licensed with Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – William Carl Schmid (William Schmid) Formerly Licensed with Ameriprise Financial Services, Inc. William Schmid was licensed with Ameriprise Financial Services, Inc. from 2009 to 2014. FINRA reports that 19 complaints and/or arbitration claims were filed involving William Schmid’s conduct with Ameriprise Financial Services, Inc. These complaints and/or claims allege negligence, gross negligence, …
Robert Michael Schwarz Jr. (Robert Schwarz) Fired by Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Robert Michael Schwarz Jr. (Robert Schwarz) Fired by Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Barred from Securities Industry From 1999 until Robert Schwarz’ firing in 2012, Robert Schwarz was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to FINRA’s records, Robert Schwarz was fired by Merrill Lynch, Pierce, …
Cristen Young Queenan (Cristen Queenan) a/k/a Cristen Nicole Housenick, Cristen Housenick and Cristen Nicole Young, Fired by GWFS Equities, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Cristen Young Queenan (Cristen Queenan) a/k/a Cristen Nicole Housenick, Cristen Housenick and Cristen Nicole Young, Fired by GWFS Equities, Inc. From 2009 until Cristen Queenan’s firing in 2014, Cristen Queenan was licensed with GWFS Equities, Inc. According to FINRA’s records, Cristen Queenan was fired by GWFS Equities, Inc. on June 10, 2014. …
Gerolyn E. Shapiro (Gigi Shapiro) a/k/a Gerolyn Elizabeth Beebe Formerly Licensed with Pruco Securities, LLC – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Gerolyn E. Shapiro (Gigi Shapiro) a/k/a Gerolyn Elizabeth Beebe Formerly Licensed with Pruco Securities, LLC Gigi Shapiro was licensed with Pruco Securities, LLC from 2013 to 2015. Gigi Shapiro was also licensed with Sagepoint Financial, Inc. and Signator Investors, Inc. FINRA reports that a complaint was filed involving Gigi Shapiro’s conduct with …
Rodney Dale Nolen (Rodney Nolen) Fired by Pruco Securities, LLC and The O.N. Equity Sales Company – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Rodney Dale Nolen (Rodney Nolen) Fired by Pruco Securities, LLC and The O.N. Equity Sales Company From 2013 until Rodney Nolen’s firing in 2015, Rodney Nolen was licensed with Pruco Securities, LLC. Rodney Nolen was previously licensed with The O.N. Equity Sales Company. According to FINRA’s records, Rodney Nolen was fired by …
Rafael Santiago Fired by COR Clearing, LLC and Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Rafael Santiago Fired by COR Clearing, LLC and Barred from Securities Industry From 2013 until Rafael Santiago’s firing in 2014, Rafael Santiago was licensed with COR Clearing, LLC. Rafael Santiago was also licensed with Primary Capital, LLC and Morgan Stanley. According to FINRA’s records, Rafael Santiago was fired by COR Clearing, LLC …
Edward John Sabo (Edward Sabo) Fired by Raymond James Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Edward John Sabo (Edward Sabo) Fired by Raymond James Financial Services, Inc. From 2012 until Edward Sabo’s firing in 2016, Edward Sabo was licensed with Raymond James Financial Services, Inc. Edward Sabo was previously licensed with Wells Fargo Advisors, LLC. Edward Sabo is now licensed with Capital Investment Group, Inc. According to …
Jeffrey Alan Schumaker (Jeff Schumaker) Fired by Transamerica Financial Advisors, Inc. and Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Jeffrey Alan Schumaker (Jeff Schumaker) Fired by Transamerica Financial Advisors, Inc. and Barred from Securities Industry From 1997 until Jeff Schumaker’s firing in 2014, Jeff Schumaker was licensed with Transamerica Financial Advisors, Inc. According to FINRA’s records, Jeff Schumaker was fired by Transamerica Financial Advisors, Inc. on June 24, 2014. Transamerica Financial …
Seth Fenn Formerly Licensed with Pruco Securities, LLC – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Seth Fenn Formerly Licensed with Pruco Securities, LLC From 2013 until 2015, Seth Fenn was licensed with Pruco Securities, LLC. Seth Fenn is now licensed with Signator Investors, Inc. According to FINRA’s records, Seth Fenn resigned from Pruco Securities, LLC on May 20, 2015. Pruco Securities, LLC reported to FINRA that Seth …