Category Archives: Bedrok Securities

Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator

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.

AWC NO. 2013037009301

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

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