Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Golding (Golding), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one regulatory event, alleging that Golding recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on November 27, 2023.
Without admitting or denying the findings, Golding consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA. The findings stated that this matter originated from a Form U5 filed by Golding’s member firm, which disclosed that he voluntarily resigned after allegations that he electronically submitted non-genuine client signatures on annuity applications, misdated a company form, and communicated via text outside the company’s monitoring platform.