Jerry Lawrence Goldblum, of New York, New York, a stockbroker registered with Aegis Capital Corp, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $10,683.67 in damages based upon allegations that Goldblum made unsuitable recommendations, breached a contract, and breached his fiduciary duties in connection with the sale of investments when Goldblum was associated with Aegis Capital Corp. Financial Industry Regulatory Authority (FINRA) Arbitration No. 20-00036 (February 4, 2022).
This is not the first time that Goldblum has been referenced in a customer initiated investment related dispute concerning Goldblum’s conduct in the securities industry. FINRA Public Disclosure shows that Goldblum was also referenced in an NASD securities arbitration claim that was settled to resolve allegations that Goldblum made misrepresentations of material fact, breached a contract, breached his fiduciary duties, and failed to supervise certain registered representatives in connection with the sale of investments when Goldblum was associated with Gaines Berland Inc. NASD Arbitration No. 96-01603 (November 12, 1996).
Goldblum was associated with Aegis Capital Corp. in Melville, New York, as a stockbroker from November of 2015 to October of 2022, and was associated with Aegis Capital Corp. in New York, New York, as an investment adviser representative from September of 2022 to October of 2022.
Goldblum has been associated with Equitable Advisors LLC in Woodbury, New Jersey, as a stockbroker since October 14, 2022, and has been associated with Equitable Advisors LLC as an investment adviser representative since October 19, 2022.
