Goodman & Nekvasil P.A., May Recover Investor Losses – Stuart L. Pearl (Stu Pearl) Suspended from the Securities Industry and Fired by Ameriprise Financial Services, Inc. From 2010 until Stu Pearl’s firing in 2015, Stu Pearl was licensed with Ameriprise Financial Services, Inc. Stu Pearl is now licensed with David A. Noyes & Company. According to FINRA’s records, Stu Pearl was …
John Isaac Roach (John Roach) Suspended from Securities Industry and Fired by CCO Investment Services Corp. a.k.a Citizens Securities, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – John Isaac Roach (John Roach) Suspended from Securities Industry and Fired by CCO Investment Services Corp. a.k.a Citizens Securities, Inc. From 2007 until John Roach’s firing in 2014, John Roach was licensed with CCO Investment Services Corp a.k.a. Citizens Securities, Inc. John Roach is now licensed with International Assets Advisory, LLC. According …
Bruce Michael Weinstein (Bruce Weinstein) Barred from Securities Industry, Fired by Sterne Agee Financial Services, Inc. and Terminated by Morgan Stanley Smith Barney – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Bruce Michael Weinstein (Bruce Weinstein) Barred from Securities Industry, Fired by Sterne Agee Financial Services, Inc. and Resigned from Morgan Stanley Smith Barney From 2014 until Bruce Weinstein’s firing in 2016, Bruce Weinstein was licensed with Sterne Agee Financial Services, Inc. Bruce Weinstein was previously licensed with Morgan Stanley from 2011 until …
Donna Chen a/k/a Cheng-Ying Chen Fired by Sunbelt Securities, Inc. and Ameriprise Financial Services, Inc. and Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Donna Chen a/k/a Cheng-Ying Chen Fired by Sunbelt Securities, Inc. and Ameriprise Financial Services, Inc. and Barred from Securities Industry From 2011 until Donna Chen’s firing in 2016, Donna Chen was licensed with Sunbelt Securities, Inc. Donna Chen was previously licensed with Ameriprise Financial Services, Inc. until Donna Chen’s firing in 2011. …
Fontaine Boutwell a/k/a Fontaine Boggs and Fontaine Boutwell Randall Fired by Allstate Financial Services, LLC and Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Fontaine Boutwell a/k/a Fontaine Boggs and Fontaine Boutwell Randall Fired by Allstate Financial Services, LLC and Barred from Securities Industry From 2002 until Fontaine Boutwell’s firing in 2015, Fontaine Boutwell was licensed with Allstate Financial Services, LLC. According to FINRA’s records, Fontaine Boutwell was fired by Allstate Financial Services, LLC on December …
Bart James Ellis (Bart Ellis) Fired by Ameriprise Financial Services, Inc. and Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Bart James Ellis (Bart Ellis) Fired by Ameriprise Financial Services, Inc. and Barred from Securities Industry From 2009 until Bart Ellis’ firing in 2012, Bart Ellis was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Bart Ellis was fired by Ameriprise Financial Services, Inc. on October 8, 2012. Ameriprise Financial …
Jerry Lou Guttman (Jerry Guttman) Fired by United Planners Financial Services of America A Limited Partner and Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Jerry Lou Guttman (Jerry Guttman) Fired by United Planners Financial Services of America A Limited Partner and Barred from Securities Industry From 2001 until Jerry Guttman’s firing in 2017, Jerry Guttman was licensed with United Planners Financial Services of America. According to FINRA’s records, Jerry Guttman was fired by United Planners Financial …
Gary Michael Strange (Gary Strange) Formerly Licensed with Cambridge Investment Research, Inc. — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Gary Michael Strange (Gary Strange) Formerly Licensed with Cambridge Investment Research, Inc. From 2015 until 2016, Gary Strange was licensed with Cambridge Investment Research, Inc. Gary Strange was previously licensed with Princor Financial Services Corporation. FINRA reports that Gary Strange was named last month in a FINRA disciplinary action. FINRA alleges that …
Mark Eisma – Arbitration Claims Filed Involving Financial Advisor Mark Eisma
Goodman & Nekvasil P.A, May Recover Investor Losses – Mark Eisma – Arbitration Claims Filed Involving Financial Advisor Mark Eisma Mark Eisma CRD #2170922 Since 2012, Mark Eisma has been licensed with Allstate Financial Services, LLC. Mark Eisma was previously licensed with Park Avenue Securities LLC. FINRA reports five arbitration claims/complaints were filed alleging sales practice violations against Mark Eisma. The …
James David Goodland (James Goodland) of Cambridge Investment Research, Inc., Barred as a Supervising Principal from Securities Industry — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – James David Goodland (James Goodland) of Cambridge Investment Research, Inc., Barred as a Supervising Principal from Securities Industry From 2000 until 2013, James Goodland was licensed with Cambridge Investment Research, Inc. James Goodland was subsequently licensed with NFP Advisor Services, LLC and is now licensed with Spire Securities, LLC. The SEC brought …