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 …

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 …

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 …

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 …

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 …

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 …

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, …