Goodman & Nekvasil P.A, May Recover Your Investment Losses – David Leonard Sheppard Barred from Securities Industry David Sheppard was formerly licensed with Meyers Associates, L.P., Aegis Capital Corp., and Bishop, Rosen & Co., Inc. David Sheppard was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on April 6, 2017. David Sheppard consented to …
Michael Halla – Financial Advisor Michael Halla Suspended from Securities Industry
Michael Halla – Financial Advisor Michael Halla Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses Michael Halla CRD #2738221 From 1996 until Michael Halla’s resignation in 2012, Michael Halla was licensed with Ameriprise Financial Services, Inc. Michael Halla is now licensed with SII Investments, Inc. According to FINRA’s records, Michael Halla was permitted to resign …
Stephen Jay Landa (Stephen Landa) Suspended from Securities Industry and Resigned from Invest Financial Corporation – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Stephen Jay Landa (Stephen Landa) Suspended from Securities Industry and Resigned from Invest Financial Corporation From 2005 until Stephen Landa’s resignation in 2015, Stephen Landa was licensed with Invest Financial Corporation. According to FINRA’s records, Stephen Landa resigned from Invest Financial Corporation on August 5, 2015. Invest Financial Corporation reported to FINRA …
Radcliffe Robert Daly (Cliff Daly) a/k/a Radd Daly Suspended from Securities Industry, Permitted to Resign from Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Radcliffe Robert Daly (Cliff Daly) a/k/a Radd Daly Suspended from Securities Industry, Permitted to Resign from Ameriprise Financial Services, Inc. From 2003 until 2013, Cliff Daly was licensed with Ameriprise Financial Services, Inc. Cliff Daly was subsequently licensed with IFS Securities. According to FINRA’s records, Cliff Daly was permitted to resign from …
Pete Butler – Financial Advisor Pete Butler Suspended from Securities Industry
Goodman & Nekvasil P.A., May Recover Investor Losses | Pete Butler – Financial Advisor Pete Butler Suspended from Securities Industry Pete Butler CRD #1942182 From 2010 until Peter Butler’s resignation in 2017, Peter Butler was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Peter Butler resigned from Ameriprise Financial Services, Inc. on January 12, 2017. Ameriprise Financial Services, Inc. …
Jon Mark Dabareiner (Jon Dabareiner) Suspended from Securities Industry, Formerly Licensed with Concord Wealth Partners and Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Jon Mark Dabareiner (Jon Dabareiner) Suspended from Securities Industry, Formerly Licensed with Concord Wealth Partners and Ameriprise Financial Services, Inc. From 1988 until Jon Dabareiner’s resignation in 2013, Jon Dabareiner was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Jon Dabareiner permitted to resign from Ameriprise Financial Services, Inc. on …
Barry Abrams – Financial Advisor Barry Abrams Suspended from Securities Industry
Barry Abrams – Financial Advisor Barry Abrams Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Barry Abrams CRD #488 From 2001 until Barry Abrams’ firing in 2013, Barry Abrams was licensed with Securities Service Network, Inc. Barry Abrams was subsequently licensed with BCG Securities, Inc. and is now licensed with Ameriprise Financial Services, Inc. According to …
John E. Burns (John Burns) Suspended from Securities Industry, Permitted to Resign from Ameriprise Financial Services, Inc. and Fired by UBS Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – John E. Burns (John Burns) Suspended from Securities Industry, Permitted to Resign from Ameriprise Financial Services, Inc. and Fired by UBS Financial Services, Inc. From 2014 until John Burns’ resignation in 2015, John Burns was licensed with Ameriprise Financial Services, Inc. John Burns was subsequently licensed with Sagepoint Financial, Inc. and was previously …
Kevin Lawrence Barbalace (Kevin Barbalace) Suspended from Securities Industry and Fired by Dawson James Securities, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Kevin Lawrence Barbalace (Kevin Barbalace) Suspended from Securities Industry and Fired by Dawson James Securities, Inc. From 2011 until Kevin Barbalace’s firing in 2015, Kevin Barbalace was licensed with Dawson James Securities, Inc. Kevin Barbalace was subsequently licensed with Corinthian Partners, L.L.C. According to FINRA’s records, Kevin Barbalace was fired by Dawson …
Eric Dean Rolshoven (Eric Rolshoven) Fined by the State of Montana and Fired by FSC Securities Corporation – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Eric Dean Rolshoven (Eric Rolshoven) Fined by the State of Montana and Fired by FSC Securities Corporation From 1994 until Eric Rolshoven’s firing in 2015, Eric Rolshoven was licensed with FSC Securities Corporation. Eric Rolshoven was subsequently licensed with SII Investments, Inc. and is now licensed with American Independent Securities Group, LLC. …