Goodman & Nekvasil P.A, May Recover Investor Losses – Howard Deen Richards (Howard Richards) Formerly Licensed with Cambridge Investment Research, Inc., Barred from Securities Industry  From 2001 until 2013, Howard Richards was licensed with Cambridge Investment Research, Inc. Howard Richards was subsequently licensed with NFP Advisor Services, LLC. FINRA reports that The SEC brought an enforcement action against Howard Richards in …

Goodman & Nekvasil P.A, May Recover Investor Losses – Christopher George Taylor (Chris Taylor) Barred from Securities Industry and Permitted to Resign by Cambridge Investment Research, Inc. From 2009 until Chris Taylor’s resignation in 2014, Chris Taylor was licensed with Cambridge Investment Research, Inc. Chris Taylor was subsequently licensed with Purshe Kaplan Sterling Investments. According to FINRA records, Chris Taylor resigned …

Goodman & Nekvasil P.A, May Recover Investor Losses – Francesco Puccio Barred from Securities Industry and Fired by Cambridge Investment Research, Inc. From 2014 until Francesco Puccio’s firing in 2015, Francesco Puccio was licensed with Cambridge Investment Research, Inc. Francesco Puccio was previously licensed with AXA Advisors, LLC. According to FINRA records, Francesco Puccio was fired on July 17, 2015. Cambridge …

Goodman & Nekvasil P.A, May Recover Investor Losses – Derek Lee Miller (Derek Miller) Barred from Securities Industry and Fired by Securities America, Inc.  From 2013 until Derek Miller’s firing in 2014, Derek Miller was licensed with Securities America, Inc. Derek Miller was previously licensed with Cambridge Investment Research, Inc.  According to FINRA records, Derek Miller was fired on September 26, …

Goodman & Nekvasil P.A, May Recover Investor Losses – Tauber Lawrence Emmings (Toby Emmings) Formerly Licensed with Cambridge Investment Research, Inc., Barred from Securities Industry  From 2008 until 2014, Toby Emmings was licensed with Cambridge Investment Research, Inc. FINRA brought a disciplinary action against Toby Emmings in 2017. Toby Emmings was barred from the securities industry. The findings state that Toby …

Goodman & Nekvasil P.A, May Recover Investor Losses | Scott Goldman – Financial Advisor Scott Goldman Suspended from Securities Industry Scott Goldman aka Scott Forrest Goldman CRD #1682329 From 2010 until 2016, Scott Goldman was licensed with H. Beck, Inc. Scott Goldman was subsequently licensed with Cambridge Investment Research, Inc. FINRA brought a disciplinary action against Scott Goldman in 2016. …

Goodman & Nekvasil P.A, May Recover Investor Losses | Mike Evangelista – Financial Advisor Mike Evangelista Barred from Securities Industry Mike Evangelista CRD #2361644 From May 2012 until Mike Evangelista’s firing in December 2012, Mike Evangelista was licensed with Comprehensive Asset Management and Servicing, Inc. Mike Evangelista was previously licensed with Cambridge Investment Research, Inc. According to FINRA records, Mike Evangelista …

Goodman & Nekvasil P.A, May Recover Investor Losses – Andrew Jason Schroeder (AJ Schroeder) Formerly Licensed with Cetera Advisors LLC From 2012 until 2014, AJ Schroeder was licensed with Cetera Advisors LLC. FINRA reports that four arbitration claims/complaints were filed alleging sales practice violations against AJ Schroeder. The claims alleged unsuitable investments, negligence and churning. Each of these claims/complaints were settled. …

Cody Schmitz – Financial Advisor Cody Schmitz Fired by United Planners’ Financial Services of America A Limited Partner  Cody Schmitz aka Cody Brian Schmitz CRD #6495498 From 2016 until Cody Schmitz’s firing in 2017, Cody Schmitz was licensed with United Planners’ Financial Services of America A Limited Partner.  Cody Schmitz was previously licensed with Cambridge Investment Research, Inc. According to …

Goodman & Nekvasil P.A., May Recover Investor Losses – Cory Ward Taylor (Cory Taylor) Permitted to Resign by Ameriprise Financial Services, Inc. and Barred from Securities Industry From 2004 until Cory Taylor’s resignation in 2016, Cory Taylor was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Cory Taylor resigned from Ameriprise Financial Services, Inc. on September 15, 2016. Ameriprise …