Soreide Law Group has been contacted by investors who sustained losses in managed futures funds while they were clients of California broker:
STUART MYLES GODIN (STUART M GODIN, STU GODIN) CRD#: 223476
STUART M GODIN clients had invested in managed futures funds while Godin was at RBC CAPITAL MARKETS in Century City, California. We are investigating these alleged claims for the investors, but no cases have yet been filed.
The definition of a managed futures account (MFA) or managed futures fund is a type of alternative investment in which trading in the futures markets is managed by another person or entity, rather than the owner of the fund.
According to FINRA’s BrokerCheck, STUART M GODIN has 7 Disclosures on his report, all 7 are “Customer Disputes.” Two of the allegations made in pending and settled disputes are: From 2017, “Client's attorney claims that the client suffered investment losses due to the financial advisor's unsuitable recommendation to invest in a managed futures fund. Time frame is 11/2012 to 5/2016.” And from 2016, “Client alleges he lost nearly all of his investment in a Managed Futures program from 10/2014 to 06/2016, after he was told that he could not lose more than 20% of his investment.”
STUART M GODIN has been in the securities industry for 56 years, and has been listed with 7 firms. He is currently listed since 9/18/2017 with:
WESTERN INTERNATIONAL SECURITIES, INC.
11755 Wilshire Blvd. Ste. 1650
Los Angeles, CA 90025
He was listed previously with the following:
03/16/2016 - 08/30/2017 FINANCIAL WEST GROUP - LOS ANGELES, CA
12/19/2006 - 03/11/2016 RBC CAPITAL MARKETS, LLC - CENTURY CITY, CA
If you've experienced losses due to the actions or recommendations of California broker, STUART M GODIN, particularly in managed futures funds, call Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA. We operate on a contingency fee basis, no fee if no recovery.
Diana Leon's BrokerCheck report shows a $700,000 settlement of a structured note arbitration in September 2026. Leon's CRD number is 4857407. The disclosure names Woodbury Financial as the firm, as do the other disputes on her report. Each involves structured notes, and each settled in September 2026.
Dunmore, Pennsylvania broker Charles Ehnot (CRD 872769) agreed to a two-month FINRA suspension and a fine in an AWC dated August 18, 2026. According to FINRA, he willfully failed to timely amend his Form U4. The missing items were an unsatisfied tax lien and an unsatisfied judgment. Ehnot consented without admitting or denying the findings.
A customer arbitration over investments bought in 2014 appears on Randall Mason's BrokerCheck report, and it ended in an award. Mason (CRD 1758777) denied the customer's unsuitability allegations in a statement on BrokerCheck. A second customer raised similar allegations in an earlier claim, which settled. Both disputes name Parkland Securities as the firm.
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