Investors might have sustained losses due to securities broker Robert L. Golding (also known as Rob Golding) [CRD: 5324763, Alpena, Michigan], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Golding worked for Pruco Securities LLC from February 8, 2018, to September 12, 2022. Here’s more.
On November 27, 2023, the Financial Industry Regulatory Authority (FINRA) issued Letter of Acceptance, Waiver, and Consent No. 2022076240401, sanctioning Robert Golding for his failure to cooperate in an investigation. Specifically, Golding was permanently barred from associating with any FINRA member firm in any capacity. This action came after Golding refused to produce documents and other pertinent information requested by FINRA.
Evidently, the regulator’s inquiry stemmed from a Form U5 (employment termination notification) filed by Golding's employer, Pruco Securities LLC, which disclosed that he had voluntarily resigned after accusations of electronically submitting fake client signatures on annuity applications, improperly dating a company form, and communicating privately with individuals rather than using the company’s platform.
Particularly, a client of Pruco Securities LLC contested Robert Golding's sales practices, according to a complaint. Allegedly, Golding forged the client's electronic signature to open variable annuity contracts. Consequently, Pruco Securities LLC opted to settle the matter on February 14, 2023, by compensating the client in the amount of $43,093.06.
Did you experience damages because of securities broker / financial advisor Robert Golding? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Golding and Pruco Securities LLC deny accusations of sales practice violations.
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