Robert Lee Golding of Alpena, Michigan, a stockbroker registered with Pruco Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Golding did not cooperate with a FINRA investigation into allegations of his potential forgery. Letter of Acceptance, Waiver, and Consent No. 2022076240401 (November 27, 2023).
According to the AWC, on September 12, 2022, Pruco Securities submitted a Form U5, the Uniform Termination Notice for Securities Industry Registration, confirming that Golding had chosen to resign of his own accord. The resignation came after allegations that Golding had submitted client signatures electronically on two annuity applications that were not authentic, improperly dated a company form, and engaged in communications via text messages outside the monitoring platform of Pruco Securities.
On October 17, 2023, FINRA sought specific documents and information from Golding relating to his termination as stockbroker. In a subsequent telephone conversation with FINRA on October 27, 2023, Golding recognized the receipt of FINRA’s request. However, he decided against complying with the request. FINRA found that he violated FINRA Rules 8210 and 2010.
Golding was associated with Pruco Securities LLC in Alpena, Michigan, from February 8, 2018, to September 12, 2022.
