Active Investigations

Active Investigations

Goodman & Nekvasil is a leader in researching and uncovering Investment Fraud. At any given time, we have hundreds of active investigations of possible sales practice misconduct and high risk investments. Below are some of our current investigations.

GWG L-Bonds Investigation | Goodman & Nekvasil P.A. May Recover Investor Losses Goodman and Nekvasil is investigating potential claims involving FINRA registered brokerage firms who may have unsuitably recommended alternative investments such as GWG L-Bonds. Investors in GWG L-Bonds May Recover their Losses with Goodman & Nekvasil, P.A. UPDATE 1/27/22 GWG Fails to Make Interest Payments for L-Bonds According to new filings with the SEC on January 18, 2022, due to the decreased sales of... READ MORE →

Recent Cases

STEVE SPENCE Terminated After U.S. BANCORP ADVISORS Allegations – Goodman & Nekvasil, P.A.

STEVE SPENCE Terminated After U.S. BANCORP ADVISORS Allegations – Goodman & Nekvasil, P.A. STEVE SPENCE Terminated After U.S. BANCORP ADVISORS Allegations. Stephen Robert Spence (CRD#: 2409165), a former broker for U.S. BANCORP ADVISORS, LLC in Appleton, WI, was terminated after employer allegations.  U.S. Bancorp Advisors alleged:  Violation of firm policies related to unauthorized transactions, falsification of records, failure to disclose OBA, and the electronic communications policy. Stephen Robert Spence STEPHEN R SPENCE, STEVE SPENCE CRD#: 2409165... Read more →

ROSS BRANNON – CRESCENT SECURITIES GROUP, INC. Broker Has A Customer Complaint – May Recover Investor Losses

ROSS BRANNON – CRESCENT SECURITIES GROUP, INC. Broker Has A Customer Complaint – May Recover Investor Losses ROSS BRANNON – CRESCENT SECURITIES GROUP, INC. Broker Has A Customer Complaint. Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. ROSS FREDRICK BRANNON ROSS F BRANNON, ROSS FREDERICK BRANNON CRD#: 5875036 ROSS FREDRICK BRANNON (CRD#: 5875036), a broker with CRESCENT SECURITIES GROUP, INC. in Plano, TX, has a customer complaint.  According... Read more →

David N Soiferman Terminated After AMERIPRISE Allegations – Goodman & Nekvasil, P.A.

David N Soiferman Terminated After AMERIPRISE Allegations – Goodman & Nekvasil, P.A. David N Soiferman Terminated After AMERIPRISE Allegations.  Soiferman was terminated after the firm alleged Registered Representative terminated for violations of Firm policies related to trading strategies. AMERIPRISE FINANCIAL SERVICES, LLC alleged violations of Firm policies related to trading strategies. DAVID NEIL SOIFERMANt (CRD#: 1990243), a former broker for AMERIPRISE FINANCIAL SERVICES, LLC in Tampa, FL, was terminated after employer allegations. Soiferman is currently a... Read more →

648 Whisper Lane Investors, LLC Investigation | Goodman & Nekvasil, P.A.

648 Whisper Lane Investors, LLC Investigation | Goodman & Nekvasil, P.A. 648 Whisper Lane Investors, LLC Investigation. Goodman & Nekvasil, P.A. is investigating 648 Whisper Lane Investors, LLC, a California real estate investment.  This REG D offering is structured as a private placement. Many investors may not have been fully informed of the significant risks associated with this type of illiquid and speculative investments. Private real estate offerings—often sold as Delaware Statutory Trusts (DSTs) or... Read more →

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