August 6, 2015
Steven P. Goldberg , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he charged about $50,000 in personal expenses to the credit card of his member firm Bedrock Securities, and as chief operating officer of the firm, approved these expenses as business expenses, thereby converting funds from the firm.
Goldberg was barred from the securities industry. According to FINRA records Goldberg was registered as follows:
- Mayfair Capital Markets 6/2013-9/2013
- Bedrok Securities LLC 2/2009-5/2013
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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