Goodman & Nekvasil P.A, May Recover Investor Losses – Patrick Thomas Golden (Pat Golden) Suspended from the Securities Industry and Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated
From 2008 until Pat Golden’s firing in 2014, Pat Golden was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to FINRA’s records, Pat Golden was fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated on October 17, 2014. Merrill Lynch, Pierce, Fenner & Smith Incorporated reported to FINRA that Pat Golden was fired after being accused of conduct involving improperly responding to a customer complaint, not cooperating with an internal investigation, not disclosing outside business activities and accepting a loan from a client.
Subsequent to Pat Golden’s firing, FINRA brought a disciplinary action against Pat Golden. Pat Golden consented to 20-month suspension from the securities industry and a $15,000 monetary fine. FINRA reports that Pat Golden consented to the entry of findings that Pat Golden engaged in private securities transactions, borrowed money from firm customers and made false statements to his firm on compliance documents.
If you lost any money on investments with Pat Golden, you may be able to recover your losses from Merrill Lynch, Pierce, Fenner & Smith Incorporated. This is because Merrill Lynch, Pierce, Fenner & Smith Incorporated had a duty to supervise Pat Golden.
If you lost money on investments with Pat Golden 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated, concerning Pat Golden’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.
Our Firm has a unique, unparalleled track record. 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 $300 million on behalf of victimized investors. If you lost money on any investments with Pat Golden 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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