Jennifer Ling – Customer Disputes Filed Involving Financial Advisor/Broker Jennifer Ling | Goodman & Nekvasil, P.A. May Recover Investor Losses Jennifer Ling CRD #3277203 Jennifer Ling was a previously licensed financial advisor with Axiom Capital Management, Inc. from 2015 to 2017. Jennifer Ling has also been associated with GPS Capital Management, LLC.  FINRA reports that two arbitration claims and/or complaints …

Goodman & Nekvasil P.A., May Recover Investor Losses | Terrence Puricelli, Financial Advisor Barred from Securities Industry  Terrence Puricelli was a formerly licensed financial advisor with Wells Fargo Advisors, LLC from 2011 to 2016. FINRA reports that Terrence Puricelli was discharged from Wells Fargo Advisors, LLC on August 25, 2016. Wells Fargo Advisors, LLC reported to FINRA that Terrence Puricelli’s discharge …

Goodman & Nekvasil P.A. May Recover Investor Losses | Kimberly Kitts, Formerly Licensed Financial Advisor Pleads Guilty to Charges Kimberly Kitts CRD #2768200 Kimberly Kitts Pleads Guilty On November 19, 2018, Kimberly Kitts, a Cape Cod-area investment adviser, pleaded guilty to criminal charges filed by the U.S. Attorney for the District of Massachusetts. According to the SEC, Kimberly Kitts admitted to investment …

Goodman & Nekvasil P.A., May Recover Investor Losses | James Kujawski Financial Advisor Suspended from Securities Industry  James Kujawski is a licensed financial advisor with Ameriprise Financial Services, Inc. James Kujawski was previously licensed with UBS Financial Services, Inc. FINRA reports that James Kujawski was discharged from UBS Financial Services, Inc. on February 20, 2018. UBS Financial Services, Inc. reported to …

Goodman & Nekvasil P.A., May Recover Investor Losses | Robert Basile (Bob Basile) Financial Advisor Barred from Securities Industry Robert Basile (Bob Basile) was a formerly licensed financial advisor with Park Avenue Securities LLC and Waddell & Reed. FINRA reports that Robert Basile (Bob Basile) was barred from the securities industry on November 16, 2018. FINRA reports that that Robert Basile …

Goodman & Nekvasil P.A., May Recover Investor Losses | Cheryl Stallings, Financial Advisor Cheryl Stallings Barred from Securities Industry  Cheryl Stallings CRD #1162913 Cheryl Stallings was a formerly licensed financial advisor with Kestra Investment Services, LLC and LPL Financial LLC. FINRA reports that Cheryl Stallings was discharged from LPL Financial LLC on July 6, 2017. LPL Financial LLC reported to FINRA …

Goodman & Nekvasil P.A., May Recover Investor Losses | William Upchurch Jr, Financial Advisor Barred from Securities Industry William Upchurch was a formerly licensed financial advisor with PFS Investments, Inc. from 1983 to 2015. FINRA reports that William Upchurch was discharged from PFS Investments, Inc. on May 12, 2015. PFS Investments, Inc. reported to FINRA that William Upchurch allegedly sold fictitious …

Goodman & Nekvasil P.A., May Recover Investor Losses | Frank Zito, Financial Advisor Discharged from Merrill Lynch  Frank Zito was a formerly licensed financial advisor with Merrill Lynch from 2010 to 2018. FINRA reports that Frank Zito was discharged from the securities and investment banking industry on June 25, 2018. Merrill Lynch reported to FINRA that Frank Zito allegedly failed to …

Goodman & Nekvasil P.A., May Recover Investor Losses | Stephen Coupe, Financial Advisor Stephen Coupe  Fined by State of Washington Securities Division Stephen Coupe CRD #2061979 From 2008 until Stephen Coupe’s discharge in 2017, Stephen Coupe was licensed with First Allied Securities, Inc. According to FINRA’s records, Stephen Coupe was discharged from First Allied Securities on April 12, 2017. First Allied …

Goodman & Nekvasil P.A. May Recover Investor Losses | Matthew Woodard, Formerly Licensed Financial Advisor Barred from Securities Industry by SEC  Securities and Exchange Commission Bars Matthew Woodard, Formerly Licensed Financial Advisor The SEC reports that from September 12, 2013 through August 18, 2014, Matthew Woodard was an associated person and registered representative of ProEquities, Inc. (“ProEquities”), which is dually registered with …