National investment loss lawyers KlaymanToskes is investigating broker Geoff Wolterstorff (CRD# 2711805) of Lifemark Securities Corp., who is being investigated by the United States Securities and Exchange Commission (“SEC”) following allegations of violations of certain provisions of the federal securities laws.
On May 1, 2023, broker Geoff Wolterstorff was hit with a Wells Notice from the Securities and Exchange Commission (SEC), disclosing the regulator’s investigation into his alleged violations of federal securities laws.
Wolterstroff was previously fined by the Wisconsin Office of the Commissioner of Insurance (WI DOI). The fine was related to allegations that the representative offered a quote for worker’s compensation insurance coverage to potential client, in which he misrepresented that their current policy compensation dividends were guaranteed whereas dividends with the employer’s current worker’s compensation carrier were not guaranteed.
According to FINRA BrokerCheck, broker Geoff Wolterstorff a/k/a Geoffrey Michael Wolterstorff is currently registered with Lifemark Securities Corp. in Eau Claire, WI.
Investors that suffered losses with broker Geoff Wolterstorff are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
KlaymanToskes is a leading national investment loss law firm that represents the interests of investors throughout the world who have suffered losses due to broker misconduct, investment fraud, and securities violations.
The articles linked below contain important information relating to the complaint against broker Geoff Wolterstorff:
If you suffered losses with broker Geoff Wolterstorff, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
The firm has helped recover over $600 million (exclusive of attorneys fees and costs) for investors, and can help you determine if your loss is due to financial advisor misconduct, unsuitable investment advice, and/or other securities violations.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Geoff Wolterstorff. These signs could potentially indicate broker misconduct, negligence, or investment fraud. Investors are encourage to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
According to FINRA, brokerage firms such as Lifemark Securities Corp. are responsible for the supervision of all of the activities of their registered brokers and investment advisors. Investors may be entitled to a financial recovery if their brokerage firm failed to supervise the representative managing their brokerage account, and/or if their broker/advisor made unsuitable investment recommendations.
Engaging the services of an experienced securities attorney to evaluate the specific circumstances of your case is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Geoff Wolterstorff or have concerns regarding your investment portfolio at Lifemark Securities Corp., contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation to discuss recovery options.