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

Chris Carpenter Is Barred from Selling Securities | May Recover Investor Losses

Chris Carpenter Is Barred from Selling Securities | Goodman & Nekvasil P.A. May Recover Investor Losses Chris Carpenter a/k/a Christopher John Carpenter (CRD#: 6601132) Is Barred From Selling Securities. Chris Carpenter  consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA. The findings stated that this matter originated from FINRA’s review of the Uniform Termination Notice for Securities Industry Registration (Form U5) filed by... Read more →

MICHAEL RAINERI Is Barred from Selling Securities | May Recover Investor Losses

MICHAEL RAINERI Is Barred from Selling Securities | Goodman & Nekvasil P.A. May Recover Investor Losses MICHAEL RAINERI a/k/a MICHAEL PATRICK RAINERI (CRD#: 4817558) Is Barred From Selling Securities. Michael Raineri consented to the sanction and to the entry of findings that he converted customer funds. The findings stated that, at the request of one of his customers, Raineri began paying some personal expenses for the customer. Over time, Ranieri caused the customer to pay him... Read more →

SEC Files Complaint against Sean Michael Kane and Kevin John Kane | May Recover Investor Losses

SEC Files Complaint against Sean Michael Kane and Kevin John Kane | Goodman & Nekvasil P.A. May Recover Investor Losses SEC Files Complaint against Sean Michael Kane and Kevin John Kane | Goodman & Nekvasil P.A. May Recover Investor Losses SEC files complaint against Sean Michael Kane and Kevin John Kane.  The suit accuses Kevin John Kane and Sean Michael Kane of failing to disclose to investors that they had been terminated from advisory firm Waddell... Read more →

Sorrento Therapeutics Files For Chapter 11 Bankruptcy | May Recover Investor Losses

Sorrento Therapeutics Files for Chapter 11 Bankruptcy | Goodman & Nekvasil P.A., May Recover Investor Losses Sorrento Therapeutics Files for Chapter 11 Bankruptcy Sorrento Therapeutics Inc., filed for bankruptcy on February 13, 2023, after reportedly being hit with judgments totaling more than $173 million, according to the Wall Street Journal. The problem with pharmaceutical and biotech investments is that they typically involve a high degree of risk. The research and development process for pharmaceutical companies often... Read more →

Bill King Has Multiple Customer Complaints | May Recover Investor Losses

Bill King Has Multiple Customer Complaints | Goodman & Nekvasil P.A., May Recover Investor Losses Bill King has multiple customer complaints. According to FINRA: WILLIAM WORTHEN KING (CRD 1432593)  a/k/a Bill King, Merrill Lynch broker, has multiple customer complaints. The customers allege that the Financial Advisor was not acting in their best interest when he enrolled his brokerage account into a managed strategy and did not implement risk management strategies; therefore, leaving the portfolio open to... Read more →

View more of our active investigations