|

December 19, 2011

Boca Raton Rep, Alan Goddard, Jr., Fined and Suspended by FINRA

Alan David Goddard Jr. (CRD #3019681, Registered Representative, Boca Raton, Florida)

has submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for 45 days. This fine must be paid either immediately upon Goddard’s reassociation with a FINRA member firm following his suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier.

Without admitting or denying the findings, Goddard consented to the described sanctions and to the entry of findings that he was actively engaged in a member firm’s investment banking and securities business as a principal without proper registration.

These findings stated that Goddard signed selling agreements and consulting agreements with issuers on the firm’s behalf as an officer of the firm and worked closely with the firm’s outside counsel to establish the terms of selling agreements and private placement offerings that the firm conducted. Unbeknownst to Goddard, the firm’s CCO amended the firm’s Application for Broker-Dealer Registration (Form BD) to list Goddard as the firm’s CEO.

FINRA's findings also stated that during Goddard’s entire association with the firm, he was only registered as a general securities representative; Goddard took the Series 24 examination but failed. Goddard erroneously believed that he could function in the capacities set forth above without a principal’s license.

This suspension was in effect from October 17, 2011, through November 30, 2011. (FINRA Case #2009016157802)

This information is from FINRA's website's Disciplinary Actions, December, 2011.

Securities Attorney, Lars Soreide, of Soreide Law Group, PLLC, has represented clients nationwide. If you or a family member have experienced losses through Alan David Goddard, Jr., call a Securities Arbitration Lawyer for a free consultation on how to potentially recover your losses. To speak with an attorney, call 888-760-6552, or visit www.securitieslawyer.com.

Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.

Contact us

S H A R E T H I S P O S T

Recent Posts

July 7, 2026

Ryan Racine Linked To Hantz Financial Services Investor Arbitration Claim About Unsuitable Advice

Investors apparently complained about securities broker Ryan Thomas Racine [CRD: 5398642, Ann Arbor, Michigan], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Racine has worked for Hantz Financial Services Inc. since January 18, 2008, as a securities broker. He has been associated with the firm since August 18, 2011, as a financial […]

July 7, 2026

Rachel Broytman Tied To Pruco Securities LLC Investor Complaint Concerning Misrepresentation

Investors may have suffered financial harm by securities broker Rachel Broytman [CRD: 6123655, Staten Island, New York], given the publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Broytman worked for Pruco Securities LLC from November 30, 2018, to November 14, 2024, and Prudential Financial Planning Services from July 12, 2021, to November 14, […]

July 7, 2026

John Scriffiny Of Trinity Wealth Securities Investigated By Virginia Regulator

Investors might have been negatively impacted by securities broker John Andrew Scriffiny [CRD: 7431849, Vienna, Virginia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scriffiny has been associated with Florida Financial Advisors since August 30, 2021, and Trinity Wealth Securities LLC since January 28, 2022. See below to learn more about a regulatory […]

Contact us Nationwide USA

2401 E. Atlantic Blvd., Suite 305, Pompano Beach, FL 33062

Phone: 1-888-760-6552
Fax: 1-954-760-6553
Email: info@securitieslawyer.com

Helping clients recover money across the USA