Jeffrey Todd Riggs (Jeffrey Riggs) Fired by Investment Professionals, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses From February 2016 until Jeffrey Riggs’ firing in September 2016, Jeffrey Riggs was licensed with Investment Professionals, Inc. Jeffrey Riggs was previously licensed with American Fidelity Securities, Inc. and CUNA Brokerage Services, Inc. According to FINRA’s records, Jeffrey Riggs was fired …
Jeanne Tabor Barnard (Jeanne Barnard) Fired by Wells Fargo Clearing Services, LLC – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Jeanne Tabor Barnard (Jeanne Barnard) Fired by Wells Fargo Clearing Services, LLC From 2015 until Jeanne Barnard’s firing in 2017, Jeanne Barnard was licensed with Wells Fargo Clearing Services, LLC. Jeanne Barnard was previously licensed with Ameriprise Financial Services, Inc. and SunTrust Investment Services, Inc. According to FINRA’s records, Jeanne Barnard was …
Barry Stephen Brower (Barry Brower) Suspended from Securities Industry and Resigned from Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Losses on GOGO, Inc. (GOGO) and/or Other Investments
Goodman & Nekvasil P.A., May Recover Losses on GOGO, Inc. (GOGO) and/or Other Investments – Barry Stephen Brower (Barry Brower) Suspended from Securities Industry and Resigned from Ameriprise Financial Services, Inc. From 1987 until Barry Brower’s resignation in 2014, Barry Brower was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Barry Brower resigned from Ameriprise Financial Services, Inc. on …
Patrick Gordon Carr (Patrick Carr) Suspended from Securities Industry and Fired by UBS Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Patrick Gordon Carr (Patrick Carr) Suspended from Securities Industry and Fired by UBS Financial Services, Inc. From 2008 until Patrick Carr’s firing in 2013, Patrick Carr was licensed with UBS Financial Services, Inc. Patrick Carr is now licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Patrick Carr was fired by …
David Robert Chambers (David Chambers) Licensed with Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – David Robert Chambers (David Chambers) Licensed with Ameriprise Financial Services, Inc. David Chambers has been Licensed with Ameriprise Financial Services, Inc. since 1998. FINRA reports that an arbitration claim was filed involving David Chambers’ conduct with Ameriprise Financial Services, Inc., alleging fraudulent and negligent misrepresentation, breach of contract, breach of fiduciary duty, …
Judith Ann Copeland (Judi Copeland) a/k/a Judi Mack Fired by Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Judith Ann Copeland (Judi Copeland) a/k/a Judi Mack Fired by Ameriprise Financial Services, Inc. From 2006 until Judi Copeland’s firing in 2012, Judi Copeland was licensed with Ameriprise Financial Services, Inc. Judi Copeland was also licensed with Riversource Distributors, Inc. According to FINRA’s records, Judi Copeland was fired by Ameriprise Financial Services, …
Theresa Ann Crescenzi (Theresa Crescenzi) Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Theresa Ann Crescenzi (Theresa Crescenzi) Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated From April 2014 until Theresa Crescenzi’s firing in October 2014, Theresa Crescenzi was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Theresa Crescenzi was previously licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Theresa Crescenzi …
Brian Conrad Dorgan (Brian Dorgan) Fired by Wells Fargo Advisors, LLC – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Brian Conrad Dorgan (Brian Dorgan) Fired by Wells Fargo Advisors, LLC From 2007 until Brian Dorgan’s firing in 2015, Brian Dorgan was licensed with Wells Fargo Advisors, LLC. Brian Dorgan was subsequently licensed with BBVA Securities Inc. According to FINRA’s records, Brian Dorgan was fired by Wells Fargo Advisors, LLC on April …
Gerard Anthony Fagnant (Gerard Fagnant) a/k/a Gerad Anthony Fagnant of LPL Financial LLC Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Losses on Promissory Notes or Other Investments
Goodman & Nekvasil P.A., May Recover Losses on Promissory Notes or Other Investments – Gerard Anthony Fagnant (Gerard Fagnant) a/k/a Gerad Anthony Fagnant of LPL Financial LLC Barred from Securities Industry Gerard Fagnant was licensed with LPL Financial LLC from 2011 to 2015. Gerard Fagnant was previously licensed with Ameriprise Financial Services, Inc. Gerard Fagnant was barred from the securities and …
David William Beutler (David Beutler) Formerly Licensed with Wells Fargo Advisors, LLC, Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – David William Beutler (David Beutler) Formerly Licensed with Wells Fargo Advisors, LLC, Barred from Securities Industry David Beutler was licensed with Wells Fargo Advisors, LLC from July 2003 to August 2016. David Beutler was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on May 15, …