Michael Barry Goldberg, of Short Hills, New Jersey, a stockbroker currently registered with Morgan Stanley, has been named in a customer initiated investment related written complaint on April 4, 2017, in which the customer requested $33,443.87 in damages based upon allegations that Goldberg effected unit investment trust and mutual fund transactions in the customer’s account that were not suitable for the customer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that on March 18, 2011, a customer initiated investment related written complaint involving Goldberg’s conduct was settled for $50,000.00 in damages based upon allegations that he effected unsuitable mutual fund purchases in the customer’s investment account.
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