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 …
James David Goodland (James Goodland) of Cambridge Investment Research, Inc., Barred as a Supervising Principal from Securities Industry — Goodman & Nekvasil P.A, May Recover Investor Losses
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 …
Howard Deen Richards (Howard Richards) Formerly Licensed with Cambridge Investment Research, Inc., Barred from Securities Industry — Goodman & Nekvasil P.A, May Recover Investor Losses
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 …
Christopher George Taylor (Chris Taylor) Barred from Securities Industry and Permitted to Resign from Cambridge Investment Research, Inc. — Goodman & Nekvasil P.A, May Recover Investor Losses
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 …
Francesco Puccio (Francesco Puccio) Barred from Securities Industry and Fired by Cambridge Investment Research, Inc. — Goodman & Nekvasil P.A, May Recover Investor Losses
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 …
Derek Lee Miller (Derek Miller) Barred from Securities Industry and Fired by Securities America, Inc. — Goodman & Nekvasil P.A, May Recover Investor Losses
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, …
Tauber Lawrence Emmings (Toby Emmings) Formerly Licensed with Cambridge Investment Research, Inc., Barred from Securities Industry — Goodman & Nekvasil P.A, May Recover Investor Losses
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 …
Scott Goldman – Financial Advisor Scott Goldman Suspended from Securities Industry
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. …
Mike Evangelista – Financial Advisor Mike Evangelista Barred from Securities Industry
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 …
Andrew Jason Schroeder (AJ Schroeder) Formerly Licensed with Cetera Advisors LLC — Goodman & Nekvasil P.A, May Recover Investor Losses
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. …