Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jeffrey Goldman (Goldman), currently employed by Chapin, Davis has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Goldman’s most recent customer complaint alleges that Goldman recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $77,696.75 on December 06, 2023.
The client alleges that two Structured Notes purchased (01/22/2022 and 02/15/2022) were unsuitable.