Soreide Law Group, (888) 760-6552, obtained the following summation of information on FINRA’s website under “Disciplinary and Other FINRA Actions, December, 2013.”
Steven Lee Goldberg (CRD #1077437, Registered Principal, St. Louis, Missouri)
was fined $15,000 and suspended from association with any FINRA member in any capacity for two months. Without admitting or denying the findings, Goldberg consented to the described sanctions and to the entry of findings that he failed to provide his firm with written notice of his participation in private securities transactions through a limited liability company. He also failed to obtain his firm’s approval of his participation in the investments.
FINRA's findings stated that Goldberg’s management over the investment decisions, on behalf of and through the limited liability company, led to his participation in separate private securities transactions involving securities. The investments in private securities transactions occurred over a lengthy period, and involved the investment of almost $2 million.
The suspension was in effect from October 21, 2013, through December 20, 2013.
(FINRA Case #2012032656701)
Steven Lee Goldberg, according to FINRA's BrokerCheck, was previously registered with the following FINRA firm:
EDWARD JONES (CRD# 250) - ST LOUIS, MO
11/1982 - 05/2012
This ends the information from FINRA’s website.
Soreide Law Group represents clients nationwide in arbitrations before FINRA. For a free consultation on how to potentially recover your investment losses call: 888-760-6552.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
Soreide Law Group is investigating potential investor claims involving DCM US Multi-Family Homes PLC notes sold or recommended through Andbanc Brokerage LLC. They are also investigating sales or recommendations through Andbanc Advisory LLC. Additionally, they are reviewing sales or recommendations through BCI Securities, Inc., Boreal Capital Securities, LLC (also known as Mora Capital Securities), and […]
Soreide Law Group está investigando posibles reclamaciones de inversionistas relacionadas con los bonos de DCM US Multi-Family Homes PLC vendidos o recomendados a través de Andbanc Brokerage LLC, Andbanc Advisory LLC, BCI Securities, Inc., Boreal Capital Securities, LLC (también conocida como Mora Capital Securities). Por otro lado, Mora WM Securities, LLC también estuvo involucrada. Si […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com