Troy Jason Goldberg, of Boca Raton, Florida, a stockbroker registered with National Securities Corp., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $35,000.00 in damages based upon allegations that Goldberg made unsuitable recommendations of private placements when Goldberg was associated with National Securities Corp. FINRA Arbitration No. 19-03384 (July 27, 2021).
FINRA Public Disclosure showed that Goldberg was referenced in thirteen (13) other customer initiated investment related disputes concerning Goldberg’s conduct while associated with securities broker dealers, including Newbridge Securities Corporation. On March 23, 2006, a customer initiated investment related NASD securities arbitration claim involving Goldberg’s conduct was settled for $165,000.00 in damages based upon allegations that Goldberg breached his fiduciary duties in connection with the recommendation and sale of over-the-counter equities during the time that Goldberg was associated with Newbridge Securities Corporation. NASD Arbitration No. 04-05482.
On October 25, 2007, a customer initiated investment related NASD securities arbitration claim involving Goldberg’s conduct was settled for $30,000.00 in damages based upon allegations that Goldberg violated state securities laws, breached his fiduciary duties, breached a contract, was negligent, and engaged in unsuitable and unauthorized trading in over-the-counter equities when Goldberg was associated with Newbridge Securities Corporation. NASD Arbitration No. 07-00600.
Goldberg was the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer was awarded $11,500.00 in compensatory damages. FINRA Arbitration No. 08-04465 (September 21, 2009). The Statement of Claim alleged that the Brookshire Securities Corporation stockbroker breached a contract, breached his fiduciary duties, made unsuitable recommendations, engaged in unauthorized trading, churned accounts, and was negligent in connection with the sale of stocks.
On July 27, 2021, a customer initiated investment related FINRA securities arbitration claim involving Goldberg’s conduct was settled for $50,000.00 in damages based upon allegations that Goldberg made unsuitable recommendations of private placements when Goldberg was associated with National Securities Corp. FINRA Arbitration No. 19-03488.
Goldberg was also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $26,000.00 in damages based upon alleged unsuitable advice about private placements. FINRA Arbitration No. 20-0323 (July 27, 2021).
On July 27, 2021, a customer initiated investment related FINRA securities arbitration claim involving Goldberg’s conduct was settled for $22,000.00 in damages based upon allegations that Goldberg made unsuitable investment recommendations. FINRA Arbitration No. 19-03324.
Goldberg was also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $18,500.00 in damages based upon allegations that Goldberg made unsuitable recommendations of private placements. FINRA Arbitration No. 19-03195 (July 27, 2021).
On May 11, 2023, an arbitration panel granted the unopposed expungement of these Occurrences Numbers 974435, 256620, 1219467, 1342237, 1355400, 1596921, 2159709, 2055290, 2055294, 2055295, 2055292, 2055293, and 2063294 (the “Occurrences”); and the deletion of all Disclosure Reporting Pages accompanying the Occurrences. FINRA Arbitration No. 22-00822.
Goldberg was associated with National Securities Corp. as a stockbroker from June 28, 2007, to July 23, 2022. He has been associated with B. Riley Wealth Management as a stockbroker since June 17, 2022, and associated with B. Riley Wealth Advisors Inc. as an investment advisor representative since September 3, 2015.
