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

Charles Wareham Has An Investor Complaint – May Recover Investor Losses

Charles Wareham Has An Investor Complaint – Goodman & Nekvasil, P.A. May Recover Investor Losses Vaylark Financial Services investment adviser, Charles Wareham has an investor complaint.  CHARLES KENNETH WAREHAM CRD#: 2193537 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   CHARLES KENNETH WAREHAM (CRD#: 2193537), a registered broker for INDEPENDENT FINANCIAL GROUP, LLC in Hartford, CT, has a pending investor complaint.  According to Wareham’s FINRA BrokerCheck report, clients are alleging that investments were... Read more →

Rodney Potratz Has A Settled Investor Complaint – May Recover Investor Losses

Rodney Potratz Has A Settled Investor Complaint – Goodman & Nekvasil, P.A. May Recover Investor Losses OSAIC WEALTH, INC. investment adviser, Rodney Potratz has a settled investor complaint.  RODNEY DAVID POTRATZ CRD#: 2367896 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   RODNEY DAVID POTRATZ (CRD#: 6203300), a registered broker for OSAIC WEALTH, INC. in LAGUNA BEACH, CA, has a settled investor complaint.  According to Potratz’s FINRA BrokerCheck report, Claimants alleged various... Read more →

William Weisbrod –  Permanently Barred by FINRA

William Weisbrod –  Permanently Barred by FINRA FINRA barred William Weisbrod alleging that he breached fiduciary duties owed to a community bank. WILLIAM HENRY WEISBROD CRD#: 812664 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   WILLIAM HENRY WEISBROD (CRD#: 812664), a formerly registered broker for PURSHE KAPLAN STERLING INVESTMENTS, in Fairfield, NJ, is barred from the securities industry. Weisbrod consented to the sanctions and to the entry of findings that he... Read more →

DANIEL KISTLER Has An Investor Complaint – May Recover Investor Losses

DANIEL KISTLER Has An Investor Complaint – Goodman & Nekvasil, P.A. May Recover Investor Losses DEMPSEY LORD SMITH, LLC investment adviser, DANIEL KISTLER has an investor complaint.  DANIEL BENJAMIN KISTLER DANIEL KISTLER CRD#: 6203300 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   DANIEL BENJAMIN KISTLER (CRD#: 6203300), a registered broker for DEMPSEY LORD SMITH, LLC in ROME, GA, has a pending investor complaint.  According to Kistler’s FINRA BrokerCheck report, client is alleging... Read more →

Barry Dow Has An Investor Complaint – May Recover Investor Losses

Barry Dow Has An Investor Complaint – Goodman & Nekvasil, P.A. May Recover Investor Losses DEMPSEY LORD SMITH, LLC investment adviser, Barry Dow has an investor complaint.  BARRY PARK DOW CRD#: 4827935 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   BARRY PARK DOW (CRD#: 4827935), a registered broker for DEMPSEY LORD SMITH, LLC in ROME, GA, has a pending investor complaint.  According to Dow’s FINRA BrokerCheck report, client is alleging that... Read more →