Goldman Sachs & Co. LLC

Broker Kyle Tisone in Goldman Sachs & CO. LLC Firm Has Customer Complaint

October 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Tisone (Tisone), currently associated with Goldman Sachs & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tisone recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $850,000.00 on August 19, 2025.

The client alleges that the representative took action outside the scope of the client’s consent in an advisory account, and materially misrepresented the risks associated with an options strategy from October 2024, notwithstanding account documentation, presentation materials and discussions to the contrary.

There are Recent Customer Complaints with Broker Thomas Currie in Firm Goldman Sachs & CO. LLC

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Currie (Currie), currently associated with Goldman Sachs & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Currie recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $140,000.00 on May 03, 2023.

The client alleged that the representative’s May 2021 recommendation to sell certain securities and invest the proceeds into a tax advantaged fund was not suitable, as they allege it did not meet their tax objectives.

Broker Pablo Paternina in Goldman Sachs & CO. LLC Firm Has Customer Complaint

September 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pablo Paternina (Paternina), currently associated with Goldman Sachs & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paternina recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $925,000.00 on July 25, 2025.

The client alleged that the representative, who did not have discretionary authority, failed to follow instructions, act in accordance with the client’s investment objectives, and disclose the related risks with respect to the strategy employed, notwithstanding the trades being placed with the client’s consent in a client-directed brokerage account.

There are Recent Customer Complaints with Broker Patrick Fels in Firm Goldman Sachs & CO. LLC

June 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Fels (Fels), currently associated with Goldman Sachs & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fels recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 20, 2024.

KSFB Management, LLC (‘KSFB’) and Focus Financial Partners, LLC (‘Focus’) each engaged Goldman Sachs & Co. LLC (the ‘Firm’) as investment banker pursuant to an engagement letter. While not in the non-disclosure agreement referenced in the complaint, the parties’ engagement letter provided, among other things, that the Firm might currently be providing other advisory and/or investment banking services that could impact the transaction; the Firm was not a fiduciary of either company; and no claim could be brought against the Firm asserting breach of fiduciary duty. Nevertheless, KSFB has now filed litigation against Focus, the Firm, Patrick Fels and another individual alleging various common law claims against various parties, including breach of fiduciary duty, fraudulent concealment, and unjust enrichment. All defendants are moving to dismiss the complaint.

Broker Daniel Hoeflinger in Goldman Sachs & Co. LLC Firm Has Customer Complaint

April 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Hoeflinger (Hoeflinger), previously associated with Goldman Sachs & Co. LLC, has at least one disclosable event. These events include one regulatory event, alleging that Hoeflinger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 08, 2024.

Daniel Hoeflinger was named a respondent in a FINRA complaint alleging that he failed to provide information and documents requested by FINRA in connection with its investigation of allegations made by his member firm on Hoeflinger’s Form U5. The complaint alleges that Hoeflinger’s firm discharged him for integrity concerns that he had provided false information, including documentation, in connection with a paid leave of absence.