Stacy Mari Goldsmith Investigation
April 2023– Iselin, NJ
According to publicly available records Stacy Mari Goldsmith, a Herbert J. Sims & Co., Inc. broker discloses 3 pending customer disputes.
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 recently filed FINRA case #22-002340 , a Herbert J. Sims & Co., Inc. customer, alleges that in 10/2014 and 12/2015 Goldsmith recommended an unsuitable investment in a private placement and is seeking damages of $30,000. The case is currently pending.
In FINRA case #22-00802, a Herbert J. Sims & Co., Inc. customer, alleges that Goldsmith recommended an unsuitable investment in a private placement and is seeking damages of $95,000. The case is currently pending.
In FINRA case #22-00749, another Herbert J. Sims & Co., Inc. customer, alleges unsuitable investments in a private placement and is seeking damages of $300,000. The case is pending.
Goldsmith has been employed with Herbert J. Sims & Co., Inc. since 2/2012.
If you have losses in an account handled by Stacy Mari Goldsmith , 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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