Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures regarding securities broker Louis Peter Goff [CRD: 4882759, Salt Lake City, Utah]. Goff worked for Wells Fargo Clearing Services LLC from September 12, 2011, to October 25, 2023. Keep reading to learn more about the allegations that have led to regulatory actions about Goff.
Evidently, on March 4, 2024, the U.S. Securities and Exchange Commission (SEC) initiated formal proceedings about Louis Peter Goff. In a prior case, Goff agreed to a settlement after being accused of misleading investors about a foreign currency trading program called Edger. Mainly, the SEC found that, from 2019 onward, Goff provided false information. Evidently, this concerned investors' account values, profitability, and his experience managing funds. Also, he reportedly failed to disclose that investor money was being controlled by a convicted felon. As a result, Goff has been permanently barred from associating with brokers, dealers, investment advisers, or any role related to securities.
Notably, FINRA initiated its own investigation into Goff’s conduct. Eventually, on December 20, 2023, Goff was barred as a securities broker after he refused to cooperate with the regulator’s requests for documents and information regarding the allegations. Evidently, FINRA determined that Goff violated FINRA Rules 2010 and 8210 by not complying with the investigation (Case 2023080053501).
Contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney for more information. Goff and Wells Fargo deny allegations of sales practice violations. Soreide Law Group has experience representing investors throughout the country. The firm also handles cases on a contingency basis.
Investors potentially experienced sales practice violations by securities broker Kerrie Lynn Best [CRD: 2834846, Spring Hill, Florida], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kerrie Best worked for Raymond James Associates Inc. beginning August 9, 2006, as a securities broker and beginning August 10, 2006, as a financial advisor. Investors […]
Investors potentially incurred losses because of securities broker Cooper Morgan Carden [CRD: 6902893, Hoover, Alabama], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cooper Carden worked for Northwestern Mutual Investment Services LLC from December 10, 2019, to March 17, 2026. See below to find out more about the securities broker’s disclosures. Northwestern Mutual […]
Investors might have sustained losses due to securities broker Michael Owen Barry [CRD: 2690041, New Orleans, Louisiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Barry has been registered with Stifel Nicolaus Company in New Orleans, Louisiana, since July 7, 2015, as both a broker and financial advisor. Investors are encouraged to […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com