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.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com[contact-form-7 404 "Not Found"]