Goodman & Nekvasil P.A., May Recover Investor Losses – Ronald Wingkai Lam (Ronald Lam) a/k/a Ronald Wing Kai Lam Fired by Wells Fargo Advisors, LLC From 2011 until Ronald Lam’s firing in 2015, Ronald Lam was licensed with Wells Fargo Advisors, LLC. Ronald Lam is now licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Ronald Lam was fired by …
Michael Radecker – Financial Advisor Michael Radecker Resigned from Firm
Michael Radecker – Financial Advisor Michael Radecker Resigned from Firm | Goodman & Nekvasil P.A., May Recover Investor Losses Michael Radecker CRD #4806958 From 2012 until Michael Radecker’s resignation in 2014, Michael Radecker was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to FINRA’s records, Michael Radecker resigned from Merrill Lynch, Pierce, Fenner & Smith Incorporated on December 5, …
Kim Dee Isaacson (Kim Isaacson) 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 – Kim Dee Isaacson (Kim Isaacson) Fired by Ameriprise Financial Services, Inc. and Barred from Securities Industry From 2014 until Kim Isaacson’s firing in 2017, Kim Isaacson was licensed withAmeriprise Financial Services, Inc. Kim Isaacson was previously licensed with Morgan Stanley. According to FINRA’s records, Kim Isaacson was fired by Ameriprise Financial Services, …
Edward Raymond Segur III (Eddie Segur) Formerly Licensed with Fordham Financial Management, Inc., Suspended from Securities Industry — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Edward Raymond Segur III (Eddie Segur) Formerly Licensed with Fordham Financial Management, Inc., Suspended from Securities Industry From 2015 until 2016, Eddie Segur was licensed with Fordham Financial Management, Inc. Eddie Segur was previously licensed with Four Points Capital Partners LLC, Blackwall Capital Markets, Inc. and Spartan Capital Securities, LLC. FINRA brought …
Craig Edward Lewis (Craig Lewis) Formerly Licensed with VALIC Financial Advisors, Inc., Barred from the Securities Industry — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Craig Edward Lewis (Craig Lewis) Formerly Licensed with VALIC Financial Advisors, Inc., Barred from the Securities Industry From 2012 until 2016, Craig Lewis was licensed with VALIC Financial Advisors, Inc. FINRA brought a disciplinary action against Craig Lewis in 2017. Craig Lewis consented to a bar from the securities industry. Craig Lewis …
James Rhys Bernthal (James Bernthal) Formerly Licensed with Network 1 Financial Securities Inc. — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – James Rhys Bernthal (James Bernthal) Formerly Licensed with Network 1 Financial Securities Inc. From 2012 until 2016, James Bernthal was licensed with Network 1 Financial Securities Inc. James Bernthal is now licensed with Dawson James Securities, Inc. FINRA reports two claims were filed alleging sales practice violations against James Bernthal. The claims …
Jason Bryce VanClef (Jason VanClef) Formerly Licensed with VFG Securities, Inc., Suspended from Securities Industry — Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses – Jason Bryce VanClef (Jason VanClef) Formerly Licensed with VFG Securities, Inc., Suspended from Securities Industry From 2009 until November 2017, Jason VanClef was licensed with VFG Securities, Inc., Jason VanClef is now licensed with Westpark Capital, Inc. FINRA brought a disciplinary action against Jason VanClef in 2016. FINRA reports that Jason VanClef …
Geraldine Gordon Licensed with Ameriprise Financial Services, Inc. Suspended from Securities Industry – Goodman & Nekvasil P.A., May Recover Your Investment Losses
Goodman & Nekvasil P.A., May Recover Your Investment Losses – Geraldine Gordon Licensed with Ameriprise Financial Services, Inc., Suspended from Securities Industry Geraldine Gordon has been licensed with Ameriprise Financial Services, Inc. since 1994. Geraldine Gordon was suspended from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) for 10 days and fined $7,500 on June 9, …
Douglas Wayne Studer (Doug Studer) Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – Douglas Wayne Studer (Doug Studer) Barred from Securities Industry Doug Studer was formerly licensed with Kovack Securities Inc., National Securities Corporation, and Prime Capital Services, Inc. Doug Studer was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on September 19, 2016. FINRA reports that Doug …
John Howard Pemberton (John Pemberton) Formerly Licensed with Ameriprise Financial Services, Inc. Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses – John Howard Pemberton (John Pemberton) Formerly Licensed with Ameriprise Financial Services, Inc. Barred from Securities Industry John Pemberton was licensed with Ameriprise Financial Services, Inc. from 2009 to 2015. John Pemberton was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on September 6, 2016. FINRA …