Heath Goldstein Investigation
April 2023-Clarks Summit, PA
According to publicly available records Heath Gary Goldstein, a broker employed by Western International Securities discloses $821,209 in final customer disputes and multiple pending customer disputes for over $134K.
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.
Between 8/2017 and 11/2019, three FINRA cases were filed alleging, among other things:
- Common Law Fraud
- Unsuitable investment
- Breach of fiduciary duty
- Violations of Pennsylvania Securities Act
- Negligence
- Breach of contract
- Misrepresentation
- Failure to supervise
These cases were collectively settled in the amount of $134.199.
Between 7/2022 and 3/2023, six customer disputes were filed alleging among other things:
- Common law fraud
- Suitability
- False and misleading statements
- Breach of fiduciary obligations/duties
- Breach of contract
- Negligence/personal negligence
- Violation of state and federal rules and regulations
- Failure to supervise
The alleged collective damages in these cases are $821,209 and these cases are currently pending.
Goldstein has been employed with Western International Securities . since 6/2016. He is also a registered investment advisor with 1St Financial Investment, Inc.
If you have questions about an investment account with Heath Goldstein , call 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.
Nationwide Representation
TollFree: 877-224-3199
Florida-561 391 1900
Texas-512-329-2870