Close Menu
Free Consultation: 888-976-6111

Louis Goff: SEC Fraud Charges Against Wells Fargo Advisor

Salt Lake City financial advisor Louis Goff (CRD# 4882759) allegedly participated in a fraudulent securities offering, according to a recent Securities and Exchange Commission complaint. Financial Industry Regulatory Authority records show that he is currently a broker registered with Wells Fargo Clearing Services.

Mr. Goff’s BrokerCheck report discloses the SEC action against him. Filed in September 2023, it alleges that he and a group of other defendants “raised more than $2.1 million from at least 49 investors” through the operation of a “fraudulent offering of subscription agreements in two pooled investment funds.” The funds in question were called POD Solutions and Edger Solutions, according to the SEC, and the defendants allegedly made false representations to investors that investments in them “would generate guaranteed profits from a high-yield foreign currency… trading program.”

In connection with this offering, they allegedly “made numerous material representations to investors,” including misrepresentations about fees, the calculation of profits and losses, and “the present and past performance of each fund.” The SEC additionally alleges that Goff and the other defendants participated in “a scheme to deceive investors and furthered this scheme by fabricating monthly account statements to show false and inflated values in investor accounts.” The SEC alleges that they violated antifraud provisions of federal securities laws in the pending complaint.

According to the Financial Industry Regulatory Authority, Louis Goff holds 16 years of securities industry experience. Based in Salt Lake City, Utah, he has been a broker with Wells Fargo since 2011. His past registrations include Hornor Townsend & Kent (Salt Lake City, Utah; 2008-2009), Lincoln Financial Advisors Corporation (Ogden, Utah; 2005-2008); the Lincoln National Life Insurance Company (Fort Wayne, Indiana; 2005-2006), and NYLife Securities (New York, New York; 2005). His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He currently holds 53 state licenses. (Information current as of October 15, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Tom Bates: $500K Complaint Against Bates Financial Advisor

    Columbus, Ohio financial advisor Tom Bates (CRD# 1037294) allegedly gave misleading investment advice, according to a recent investor complaint. Financial...

    Read More
  • Charlotte McConnell: Ex-Cetera Advisor Faces $300K Complaint

    Fort Collins, Colorado financial Charlotte McConnell (CRD# 1161160) recently received an investor complaint alleging that her advice resulted in damages....

    Read More
  • John Davenport: $150K Complaint Against J. Davenport Advisor

    Norwalk, Connecticut financial advisor John Davenport (CRD# 1448999) recently received an investor complaint alleging that his investment advice resulted in...

    Read More
  • Cissy Hutchinson: Synovus Securities Fires Athens Advisor

    Former Athens, Georgia broker Cissy Hutchinson (CRD# 2067670) was recently fired from Synovus Securities in connection with alleged rule violations....

    Read More
  • Previous
  • Next