This information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.”
Frederico Goldin (CRD #4548232, Registered Representative, Aventura, Florida)
was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. The fine must be paid either immediately upon Goldin’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, Goldin consented to the described sanctions and to the entry of findings that he borrowed a total of $28,688.47 from customers although at the time, his firm did not have written procedures that allowed its representatives to borrow money from customers. Goldin has repaid the loans.
The suspension was in effect from May 6, 2013, through June 5, 2013.
(FINRA Case #2011028603001)
On FINRA's BrokerCheck it is reported that this broker was previously registered with FINRA at the following brokerage firms:
ITA FINANCIAL SERVICES, LLC
CRD# 38649
MIAMI, FL
12/2010 - 06/2011
GLOBAL STRATEGIC INVESTMENTS, LLC
CRD# 117028
MIAMI, FL
03/2009 - 12/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD# 7691
CORAL GABLES, FL
07/2005 - 03/2009
The information from FINRA’s website ends here.
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