The South Florida-based Soreide Law Group has been contacted by investors, particularly those who had been recommended GWG L-bonds from the former NEWBRIDGE SECURITIES CORPORATION of Boca Raton, Florida, broker, PETER LEWIS GOFFIN (PETER L GOFFIN). Goffin was previously registered both as a broker and as an investment advisor. PETER L GOFFIN was with NEWBRIDGE SECURITIES of Boca Raton, Florida for twenty years, from 10/06/2003 - 10/05/2023.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, PETER L GOFFIN, has 36 years of experience in the securities industry and was listed with 5 firms. Goffin is currently not registered with any FINRA firms.
PETER L GOFFIN has 11 disclosures on his FINRA CRD report. Of the 11 disclosures, 1 is a “Regulatory” dated 3/31/1995, and the other 10 disclosures are “Customer Disputes.” Seven of the disputes have settled, 2 were denied, and 1 is pending. The significance of Goffin’s disclosures is underscored in FINRA NOTICE to MEMBERS 03-49. FINRA conducted a review of the CRD’s of all registered representatives, only .41% had been the subject of 3 or more customer complaints. In other words, PETER L GOFFIN’s customer complaints rank him in the top one-hundredth percent of all registered representatives for customer complaints.
The following are some examples of the settled disputes filed against Goffin. A dispute dated 9/11/2024, filed against PETER L GOFFIN settled for $50,000.00. The allegations were, “BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE AND NEGLIGENCE, VIOLATION OF REG BI.” Another dispute filed against Goffin, dated 1/10/2024, settled for $295,635.00. The allegations were, “BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT AND NEGLIGENCE, AND NEGLIGENT SUPERVISION.” A dispute against PETER L GOFFIN dated 11/15/2023 had the following allegations, “BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, FAILURE TO SUPERVISE AND NEGLIGENCE.” This dispute settled for $300,000.00.
To discuss this article or if your broker recommended GWG L-bonds, contact the South Florida-based Soreide Law Group and speak at no cost to an experienced securities lawyer who has successfully resolved many GWG cases before FINRA at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis.
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