The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Keith Goldstein AKA Keith Russel Goldstein [CRD#: 1909843, Melville, NY]. Evidently, investors disputed the sales practices of the securities broker, who worked for Wells Fargo Advisors. Additionally, the securities broker discloses a regulatory enforcement action. However, Goldstein denies the allegations of sales practice violations. Read on to learn more about the allegations against Goldstein.
Evidently, a Wells Fargo Advisors client filed a complaint about Keith Goldstein. Namely, the client alleged that Goldstein charged the client excessive commissions. Because of this, the client sustained damages on investment accounts. Therefore, on May 8, 2020, Wells Fargo Advisors settled this matter by paying the client $60,963.60.
Have you sustained damages by investing with Keith Goldstein? If so, reach out to Soreide Law Group at (888) 760-6552 to talk with a securities lawyer about a possible recovery of your investment losses. Notably, Soreide Law Group has successfully recovered money for investors in all 50 states. The firm represents clients on a contingency fee basis and advances all costs. Goldstein and brokerage firms Goldstein was employed by deny any and all allegations of sales practice violations.
Soreide Law Group is investigating potential investor claims involving Cove Capital 1031 Delaware Statutory Trust (DST) investments and whether brokers improperly recommended these specific tax-deferred real estate offerings. Cove Capital 1031 DSTs are structured investments that allow investors to reinvest proceeds from the sale of real estate into fractional interests in institutional-grade properties while deferring […]
Investors might have sustained losses due to securities broker Marc Charles Koch [CRD: 4978078, New York, New York], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Koch worked for Morgan Stanley from March 30, 2023, to the present, First Republic Investment Management Inc. from November 7, 2022, to April 25, […]
Investors potentially incurred losses because of securities broker Stephen Charles Newell Hlibok (also known as Stephen Hlibok and Steve Hlibok) [CRD: 1728900, Columbia, Maryland], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hlibok worked for Merrill Lynch Pierce Fenner Smith Incorporated from September 25, 1987, to the present as a broker, and from […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com