Scott Goldman - Financial Advisor Scott Goldman Suspended from Securities Industry
Goodman & Nekvasil P.A, May Recover Investor Losses | Scott Goldman - Financial Advisor Scott Goldman Suspended from Securities Industry
Scott Goldman aka Scott Forrest Goldman CRD #1682329
From 2010 until 2016, Scott Goldman was licensed with H. Beck, Inc. Scott Goldman was subsequently licensed with Cambridge Investment Research, Inc.
FINRA brought a disciplinary action against Scott Goldman in 2016. Scott Goldman consented to a 20-day suspension and a $10,000 monetary fine. FINRA reports that Scott Goldman consented to the entry of findings that Scott Goldman recommended an investment strategy to an elderly customer that was unsuitable because it unduly concentrated her in risky, leveraged precious metal products. The findings stated that the customer received a fund prospectus but was not adequately informed of the investment components in that she did not understand the nature of and market risk associated with it.
FINRA reports three arbitration claims/complaints were filed alleging sales practice violations against Scott Goldman. The claims alleged misrepresentation, breach of fiduciary duty, failure to supervise and/or unsuitability. The claims were settled for $135,000, $114,000 and $20,000. Scott Goldman contributed $4,200 of the $20,000 settlement.
If you lost any money on investments with Scott Goldman, you may be able to recover your losses from Cambridge Investment Research, Inc. and/or H. Beck, Inc. This is because Cambridge Investment Research, Inc. and H. Beck, Inc. had a duty to supervise Scott Goldman.
If you lost money on investments with Scott Goldman, and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Cambridge Investment Research, Inc. and/or H. Beck, Inc., concerning Scott Goldman’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $170 million on behalf of victimized investors. If you lost money on any investments with Scott Goldman and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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