January 15, 2014
Elliot H. Goldberg entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to amend FINRA records to disclose that he was disciplined in August 2011 by the American Institute of CPA’s and the New York State Society of CPA’s , which discipline included a one year suspension.
Case # 2013035038501
Goldberg was was suspended for six months and assessed a deferred fine of $5,000, FINRA records indicate that Goldberg is not currently registered. He was previously registered with RDM Investment Services from 10/2001-12/2013.
RDM Investment Services is headquartered in Westport, CT and has an affiliated office, RDM Financial Group, in Boca Raton, FL.
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.
Florida-561 391 1900