Goodman & Nekvasil P.A, May Recover Investor Losses on Puerto Rico bonds, closed-end municipal bond funds and stock issued by Puerto Rico banks – Luis Gabriel Gonzalez Rodriguez (Luis Gonzalez) Licensed with UBS Financial Services Inc. and UBS Financial Services Incorporated of Puerto Rico Since 2003, Luis Gonzalez has been licensed with UBS Financial Services Inc. and UBS Financial Services Incorporated …
Perry Lynn De Leeuw (Perry De Leeuw) Barred from Securities Industry and Fired by PFS Investments Inc. — Goodman & Nekvasil P.A, May Recover Investor Losses on Waterbos and other Investments
Goodman & Nekvasil P.A, May Recover Investor Losses on Waterbos and other Investments – Perry Lynn De Leeuw (Perry De Leeuw) Barred from Securities Industry and Fired by PFS Investments Inc. From 2004 until Perry De Leeuw’s firing in 2016, Perry De Leeuw was licensed with PFS Investments Inc. According to FINRA records, Perry De Leeuw was fired on April 27, …
Godfrey Paul Jarabak (Godfrey Jarabak) Fired by Metlife Securities Inc. — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Godfrey Paul Jarabak (Godfrey Jarabak) Fired by Metlife Securities Inc. From 2006 until Godfrey Jarabak’s firing in 2012, Godfrey Jarabak was licensed with Metlife Securities Inc. According to FINRA records, Godfrey Jarabak was fired on June 6, 2012. Metlife Securities Inc. reported to FINRA that Godfrey Jarabak was fired after Godfrey Jarabak …
Kevin Paul Hudak (Kevin Hudak) Formerly Licensed with Cetera Advisor Networks LLC, Barred from Securities Industry — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Kevin Paul Hudak (Kevin Hudak) Formerly Licensed with Cetera Advisor Networks LLC, Barred from Securities Industry From 2006 until 2014 Kevin Hudak was licensed with Cetera Advisor Networks LLC. FINRA brought a disciplinary action against Kevin Hudak in 2016. FINRA reports that Kevin Hudak consented to a bar from the securities industry. …
Corey Dale Harmon (Corey Harmon) Fired by J.P. Morgan Securities LLC — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Corey Dale Harmon (Corey Harmon) Fired by J.P. Morgan Securities LLC From 2012 until Corey Harmon’s firing in 2013, Corey Harmon was licensed with J.P. Morgan Securities LLC. Corey Harmon was previously licensed with Chase Investment Services Corp. According to FINRA records, Corey Harmon was fired on August 23, 2013. J.P. Morgan …
Albert Franco – Financial Advisor Albert Franco Discharged from MML Investors Services, LLC
Albert Franco – Financial Advisor Albert Franco Discharged from MML Investors Services, LLC | Goodman & Nekvasil, PA May Recover Investor Losses Albert Franco CRD #5331580 From 2009 until Albert Franco’s firing in 2013, Albert Franco was licensed with MML Investors Services, LLC. According to FINRA records, Albert Franco was fired on April 30, 2013. MML Investors Services, LLC reported …
Buford Wendell Ford, Jr. (Buford Ford) Licensed with PFS Investments Inc. — Goodman & Nekvasil P.A, May Recover Investor Losses
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 …
Thomas Edward Stratton-Crooke (Thomas Stratton-Crooke) Suspended from Securities Industry and Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated – Goodman & Nekvasil P.A., May Recover Investor Losses
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 …
James Michael Vaughn (Mike Vaughn) Suspended from Securities Industry and Fired by Edward Jones – Goodman & Nekvasil P.A., May Recover Investor Losses
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 …
William Benton Guido (BJ Guido) Suspended from Securities Industry and Fired by LPL Financial LLC – Goodman & Nekvasil P.A., May Recover Investor Losses
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 …