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.
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