Goodman & Nekvasil P.A., May Recover Investor Losses – Eric Christopher Erb (Eric Erb) Suspended from Securities Industry, Formerly Licensed with AXA Advisors, LLC From 2002 until 2013, Eric Erb was licensed with AXA Advisors, LLC. Eric Erb was subsequently licensed with Securities America, Inc. and Liberty Partners Financial Services, LLC. According to FINRA’s records, Eric Erb was permitted to resign …
Craig Cody – Financial Advisor Craig Cody Fired by Ameritas Investment Corp.
Goodman & Nekvasil P.A., May Recover Investor Losses | Craig Cody – Financial Advisor Craig Cody Fired by Ameritas Investment Corp. Craig Cody CRD #2819536 From 2008 until Craig Cody’s firing in 2013, Craig Cody was licensed with Ameritas Investment Corp. According to FINRA’s records, Craig Cody was fired by Ameritas Investment Corp. on December 20, 2013. Ameritas Investment Corp. …
Owen Edgardo Nestor (Owen Nestor) Formerly Licensed with Pruco Securities, LLC- Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Owen Edgardo Nestor (Owen Nestor) Formerly Licensed with Pruco Securities, LLC From 2012 until 2016, Owen Nestor was licensed with Pruco Securities, LLC. Owen Nestor was subsequently licensed with Horace Mann Investors, Inc. Owen Nestor is now licensed with MML Investors Services, LLC. According to FINRA’s records, Owen Nestor resigned from Pruco …
John Larry Simpson Jr. (Jay Simpson) Formerly Licensed with Princor Financial Services Corporation, Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – John Larry Simpson Jr. (Jay Simpson) Formerly Licensed with Princor Financial Services Corporation, Barred from Securities Industry Jay Simpson was licensed with Princor Financial Services Corporation from 2014 to 2015. Jay Simpson was previously licensed with Avalon Investment & Securities Group, Inc. Jay Simpson was barred from the securities and investment banking …
Richard Edwin Seidel (Richard Seidel) Suspended from Securities Industry and Fired by Pruco Securities, LLC- Goodman & Nekvasil P.A., May Recover Loan and/or Investment Losses
Goodman & Nekvasil P.A., May Recover Loan and/or Investment Losses – Richard Edwin Seidel (Richard Seidel) Suspended from Securities Industry and Fired by Pruco Securities, LLC From 1983 until Richard Seidel’s firing in 2016, Richard Seidel was licensed with Pruco Securities, LLC. According to FINRA’s records, Richard Seidel was fired by Pruco Securities, LLC on June 23, 2016. Pruco Securities, LLC …
Fernando A. Pohina (Fernando Pohina) Fired by Pruco Securities, LLC – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Fernando A. Pohina (Fernando Pohina) Fired by Pruco Securities, LLC From 2013 until Fernando Pohina’s firing in 2014, Fernando Pohina was licensed with Pruco Securities, LLC. Fernando Pohina was previously licensed with AXA Advisors, LLC. Fernando Pohina is now licensed with Hornor, Townsend & Kent, Inc. According to FINRA’s records, Fernando Pohina …
Troy Christopher Baldridge (Troy Baldridge) Fired by Capitol Securities Management, Inc., Barred from Securities Industry and Under Investigation for Check Fraud – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Troy Christopher Baldridge (Troy Baldridge) Fired by Capitol Securities Management, Inc., Barred from Securities Industry and Under Investigation for Check Fraud From 2007 until Troy Baldridge’s firing in 2016, Troy Baldridge was licensed with Capitol Securities Management, Inc. Troy Baldridge was also licensed with Capitol Securities & Associates, Inc. According to FINRA’s …
Luther John Dykema (Luther Dykema) Fired by Securities America, Inc. and Fined by Minnesota Department of Commerce – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Luther John Dykema (Luther Dykema) Fired by Securities America, Inc. and Fined by Minnesota Department of Commerce From 2010 until Luther Dykema’s firing in 2012, Luther Dykema was licensed with Securities America, Inc. Luther Dykema was subsequently licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Luther Dykema was fired by …
Lori Cousineau Weaver (Lori Weaver) Formerly Licensed with Ameriprise Financial Services, Inc. Suspended from Registration as a Securities Salesperson by the State of Washington – Goodman & Nekvasil P.A., May Recover Losses on REIT Investments
Goodman & Nekvasil P.A., May Recover Losses on REIT Investments – Lori Cousineau Weaver (Lori Weaver) a/k/a Lori Ann Cousineau Formerly Licensed with Ameriprise Financial Services, Inc. Suspended from Registration as a Securities Salesperson by the State of Washington Lori Weaver was licensed with Ameriprise Financial Services, Inc. from 1989 to 2015. Lori Weaver was subsequently licensed with UBS Financial Services …
William Carl Schmid (William Schmid) Formerly Licensed with Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – William Carl Schmid (William Schmid) Formerly Licensed with Ameriprise Financial Services, Inc. William Schmid was licensed with Ameriprise Financial Services, Inc. from 2009 to 2014. FINRA reports that 19 complaints and/or arbitration claims were filed involving William Schmid’s conduct with Ameriprise Financial Services, Inc. These complaints and/or claims allege negligence, gross negligence, …