Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Goetz (Goetz), previously associated with Network 1 Financial Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Goetz 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 $420,000.00 on September 23, 2020.
Fraud, Breach of Fiduciary Duty, Suitability, Failure to Supervise