Dustin Goss Investigation
February 2023 – Austin, TX
According to publicly available records Dustin Goss, a former broker who last worked for Park Avenue Services, discloses a final regulatory matter resulting in a permanent 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 4/2022 FINRA permanently barred Goss from the securities industry in all capacities to resolve allegations that he failed to respond to FINRA requests for information in connection with a regulatory investigation. He failed to request termination of his suspension within three months of the date of the Notice of Suspension, therefore, he is automatically barred from association with any FINRA member in all capacities.
Goss was employed by Park Avenue Securities in Austin, Texas from 3/2020 until 7/2021 when he was discharged for failing to cooperate with a regulatory investigation.. Before that time he was with Edward Jones, also in Austin.
If you have questions about an account handled by Dustin Goss contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
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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