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 has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com