Investors apparently complained about securities broker B. David Goldstein [CRD: 1718066, Rancho Mirage, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Goldstein worked for Western International Securities Inc. from May 29, 2015, to June 22, 2022, and later for Securities America Inc. from June 22, 2022, to June 14, 2024. Presently, Goldstein is registered with Mosaic Wealth Inc. and WealthPlan Partners. Keep reading to learn more about client disputes involving Goldstein.
Particularly, on February 25, 2025, a Mosaic Wealth Inc. client filed FINRA Arbitration No. 25-00389 about David Goldstein. Particularly, the client alleged that Goldstein made unsuitable recommendations and misrepresentations of material fact. Because of this, the client allegedly sustained damages on corporate bonds. Therefore, the client requested $75,000 in compensation from Mosaic Wealth Inc. or Goldstein. Evidently, this arbitration is pending a resolution.
Specifically, a client of Western International Securities Inc. contested David Goldstein’s sales practices, according to a complaint dated May 17, 2024. Allegedly, Goldstein made unsuitable recommendations and misrepresentations of material fact. It appears that Goldstein allegedly caused the client to sustain damages on corporate bonds. Therefore, the client sought damages from Western International Securities Inc. or Goldstein in the amount of $100,000 in this matter. However, this complaint was later withdrawn as of May 31, 2024.
Also, a Western International Securities Inc. client filed FINRA Arbitration No. 24-00718 about David Goldstein. Supposedly, Goldstein made misrepresentations of material fact. Because of this, the client allegedly sustained damages on corporate bonds. Therefore, on November 29, 2024, Western International Securities Inc. settled this matter by paying the client $34,902.84 in damages.
Particularly, a client of Western International Securities Inc. contested David Goldstein’s sales practices by filing FINRA Arbitration No. 23-01777. Allegedly, Goldstein made negligent misrepresentations of material fact. It appears that Goldstein caused the client to sustain damages on corporate bonds. Therefore, Western International Securities Inc. opted to settle the matter on April 8, 2024, by compensating the client in the amount of $26,000.
Specifically, a Western International Securities Inc. client filed FINRA Arbitration No. 23-00804 about David Goldstein. The client alleged that Goldstein was negligent. Because of this, the client allegedly sustained damages on corporate bonds. Therefore, on February 8, 2024, Western International Securities Inc. settled this matter by paying the client $30,000 in damages.
Also, a client of Western International Securities Inc. contested David Goldstein’s sales practices by filing FINRA Arbitration No. 22-01794. Allegedly, Goldstein made unsuitable recommendations, misrepresentations, and omissions. It appears that Goldstein caused the client to sustain damages on corporate bonds. Therefore, Western International Securities Inc. opted to settle the matter on June 29, 2023, by compensating the client in the amount of $76,273.
Are you looking for more information about David Goldstein? If you incurred losses, get in touch with Soreide Law Group online or at (888) 760-6552 and speak with a securities attorney about a potential recovery. Soreide Law Group has recovered losses for investors throughout the United States, represents clients on a contingency fee basis, and advances all costs. Goldstein and brokerage firms Goldstein worked for deny accusations of sales practice violations.
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