Stacy Mari Goldsmith of Red Bank, New Jersey, a stockbroker registered with Herbert J. Sims Co Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $150,000.00 in damages based upon allegations that Goldsmith made the unsuitable investment recommendation of private placements during the time that Goldsmith was associated with Herbert J. Sims Co Inc. FINRA Arbitration No. 23-03458 (December 6, 2023).
FINRA Public Disclosure shows that Goldsmith is referenced in three other customer initiated investment related disputes concerning Goldsmith’s conduct while associated with securities broker dealers. On April 22, 2024, a customer initiated investment related FINRA securities arbitration claim involving Goldsmith’s conduct was settled for $95,000.00 in damages based upon allegations that Goldsmith made unsuitable recommendations in private placements when Goldsmith was associated with Herbert J. Sims Co. Inc. FINRA Arbitration No. 22-00749.
Goldsmith is also referenced in a FINRA securities arbitration claim in which the customer requested $95,000.00 in damages based upon allegations that Goldsmith made unsuitable investment recommendations. FINRA Arbitration No. 22-00802 (April 18, 2022).
Goldsmith was also referenced in a FINRA securities arbitration claim that was settled for $7,500.00 in damages resulting from private placement sales. FINRA Arbitration No. 22-02340 (April 15, 2023).
Goldsmith has been associated with Herbert J. Sims Co Inc. in Red Bank, New Jersey since February 22, 2012. She has been associated with Herbert J. Sims Capital Management Inc. in Red Bank, New Jersey since February 14, 2020.
