David Van Geffen – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
David Van Geffen is a licensed financial advisor/broker with Ameriprise Financial. David Van Geffen was previously licensed with Raymond James.
According to FINRA, David Van Geffen was fined $5,000 and suspended from the securities industry for 15 days in in September 2021.
According to FINRA Allegations:
Van Geffen consented to the sanctions and to the entry of findings that he impersonated a customer on telephone calls to an annuity company. The findings stated that the customer requested that Van Geffen effectuate an increase in his annuity income benefit but did not give him permission to impersonate him.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with David Van Geffen and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning David Van Geffen’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with David Van Geffen and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 8/27/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.