Lawrence Goldstein Investigation
November 2021- San Antonio, TX
According to publicly available records Lawrence B. Goldstein (CRD#2282699), a former stockbroker who last worked for McNally Financial Services Corporation, discloses a regulatory event resulting in his bar from the industry.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In November of 2020, Goldstein was permanently barred after he refused to appear for an on-the-record testimony requested by FINRA in connection with its investigation into whether he engaged in unsuitable excessive trading in a customer’s account. FINRA case #2018058820102.
Goldstein worked with McNally Financial Services Corporation from April 2010 until February of 2020. Before that he was with JHS Capital Advisors, Sterling Financial Investment Group and Morgan Stanley.
If you had an account with Lawrence Goldstein that suffered losses, you may be entitled to collect damages from his prior employer. Call to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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