Peter Goffin Facing Allegations Of Breach Of Fiduciary Duty

Investors complained about securities broker Peter Lewis Goffin (CRD: 1617710, Boca Raton, Florida). Notably, the securities broker, who worked for Newbridge Securities Corporation, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Newbridge Securities Corporation clients allege that Goffin breached a contract and fiduciary duty and provided unsuitable advice. For more on these disclosures about Goffin, see below.

Newbridge Securities Corporation Investor Accuses Peter Goffin Of Breach Of Fiduciary Duty

Also, a client of Newbridge Securities Corporation contested Peter Goffin’s sales practices by filing FINRA Arbitration: 21-01527. Allegedly, Goffin made unsuitable recommendations, breached a contract, breached a fiduciary duty, and acted unethically. It appears that Goffin possibly caused the client to sustain damages on alternative investments. Therefore, Newbridge Securities Corporation opted to settle the matter on August 1, 2022, by compensating the client in the amount of $32,500.

Goffin Discloses Omissions Allegations By Newbridge Securities Corporation Client

Evidently, on January 10, 2012, a Newbridge Securities Corporation client filed a complaint about Peter Goffin. Namely, the client alleged that Goffin made omissions. Because of this, the client allegedly sustained damages on variable annuities. Therefore, the client requested $30,300 in compensation from Newbridge Securities Corporation or Goffin. However, the securities firm denied this complaint.

First Union Securities Financial Network Inc. Files Complaint About Peter Goffin

Also, on June 13, 2002, a First Union Securities Financial Network Inc. client filed a complaint about Peter Goffin. Supposedly, the client allegedly sustained damages on common stocks and preferred stocks. Therefore, the client requested $150,000 in compensation from First Union Securities Financial Network Inc. or Goffin. However, the securities firm denied this complaint.

Recent Employment Information

• Goffin started working for Newbridge Securities Corporation on October 6, 2003.

Damages Resulting From Newbridge Securities Corporation Securities Broker Peter Goffin?

Have you sustained damages due to the sales practices of Peter Goffin? If so, contact Soreide Law Group at (888) 760-6552 and talk with a securities lawyer about a potential recovery of your investment losses. Soreide Law Group, who has effectively recovered losses for investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Goffin and brokerage firms Goffin worked for deny all allegations of sales practice violations.