Investors Complain About Heath Goldstein

Soreide Law Group is investigating possible investor claims against Heath Gary Goldstein (CRD: 2147679, Clarks Summit, Pennsylvania). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Western International Securities Inc. Evidently, one or more investors alleged misconduct in these disputes, including that Goldstein acted unethically, violated state securities laws, breached a fiduciary duty, was negligent, failed to supervise certain representatives, and breached a contract. Here is a brief summary of the disclosures about Goldstein.

Goldstein Disclosed Negligence Allegations By Western International Securities Inc. Client

Evidently, a Western International Securities Inc. client filed FINRA Arbitration: 22-01514 about Heath Goldstein. Namely, the client alleged that Goldstein acted unethically, violated state securities laws, breached a fiduciary duty, was negligent, failed to supervise certain representatives, and breached a contract. Because of this, the client allegedly sustained damages on GWG L Bonds. Therefore, on June 14, 2023, Western International Securities Inc. settled this matter by paying the client $40,000 in damages.

Heath Goldstein Disclosed Misrepresentation Allegations By Western International Securities Inc. Client

Particularly, a client of Western International Securities Inc. contested Heath Goldstein’s sales practices by filing FINRA Arbitration: 23-01350 on May 19, 2023. Allegedly, Goldstein made unsuitable recommendations, made misrepresentations, made omissions, failed to perform due diligence, was negligent, breached a fiduciary duty, and failed to supervise certain representatives. It appears that Goldstein caused the client to sustain damages on direct investments (LP interests and DPP interests) and corporate bonds. Therefore, the client seeks compensatory relief from Western International Securities Inc. or Goldstein in the amount of $30,000 in this ongoing matter.

Western International Securities Inc. Investor Accused Goldstein Of Violation Of Federal Securities Law

Evidently, a Western International Securities Inc. client filed FINRA Arbitration: 22-01365 about Heath Goldstein. Namely, the client alleged that Goldstein violated federal securities laws, violated state securities laws, acted unethically, was negligent, breached a fiduciary duty, and breached a contract. Because of this, the client allegedly sustained damages on over-the-counter equities, direct investments (LP interests and DPP interests), and annuities. Therefore, on May 11, 2023, Western International Securities Inc. settled this matter by paying the client $30,000 in damages.

Heath Goldstein Disclosed Breach Of Fiduciary Duty Allegations By 1st Financial Investments Inc. Client

Specifically, a client of 1st Financial Investments Inc. contested Heath Goldstein’s sales practices by filing FINRA Arbitration: 23-00898 on April 17, 2023. Allegedly, Goldstein breached a fiduciary duty, was negligent, made misrepresentations, breached a contract, and failed to supervise certain representatives. It appears that Goldstein caused the client to sustain damages on direct investments (LP interests and DPP interests) and corporate bonds. Therefore, the client seeks compensatory relief from 1st Financial Investments Inc. or Goldstein in the amount of $50,000 in this ongoing matter.

Western International Securities Inc. Investor Accused Goldstein Of Breach Of Fiduciary Duty

Also, a Western International Securities Inc. client filed FINRA Arbitration: 22-02733 about Heath Goldstein. Namely, the client alleged that Goldstein breached a fiduciary duty, breached a contract, was negligent, failed to supervise certain representatives, violated state securities laws, and violated federal securities laws. Because of this, the client allegedly sustained damages on corporate bonds and direct investments (LP interests and DPP interests). Therefore, on April 3, 2023, Western International Securities Inc. settled this matter by paying the client $12,000 in damages.

Heath Goldstein Disclosed Unsuitable Advice Allegations By Calton Associates Inc. Client

Particularly, a client of Calton Associates Inc. contested Heath Goldstein’s sales practices by filing FINRA Arbitration: 19-03278. Allegedly, Goldstein made unsuitable recommendations, acted unethically, breached a fiduciary duty, was negligent, and breached a contract. It appears that Goldstein caused the client to sustain damages on equity-indexed annuities. Therefore, Calton Associates Inc. opted to settle the matter on November 26, 2019, by compensating the client in the amount of $38,199.

Berthel Fisher Company Financial Services Inc. Investor Accused Goldstein Of Unsuitable Advice

Notably, a Berthel Fisher Company Financial Services Inc. client filed FINRA Arbitration: 18-00411 about Heath Goldstein. Namely, the client alleged that Goldstein provided unsuitable advice, made misrepresentations, and failed to supervise certain representatives. Because of this, the client allegedly sustained damages on oil and gas investments. Therefore, on June 27, 2018, Berthel Fisher Company Financial Services Inc. settled this matter by paying the client $51,500 in damages.

Employment Information

Goldstein worked for Western International Securities Inc. as a securities broker from June 2016 to July 2023.

Did Western International Securities Inc. Securities Broker Heath Goldstein Cause You To Experience Damages?

Did you suffer damages because of broker Heath Goldstein? If so, reach out to Soreide Law Group at (888) 760-6552 and talk with a skilled securities attorney about a possible recovery of your investment losses. Soreide Law Group, who has helped recover money for hundreds of investors in all 50 states, represents clients on a contingency fee basis and advances all costs. Goldstein and brokerage firms Goldstein worked for deny all accusations of sales-related misconduct.