DID PETER LEWIS GOFFIN CAUSE YOU INVESTMENT LOSSES?
Peter Goffin Formerly With Newbridge Securities Corporation Has 8 Customer Complaints For Alleged Broker Misconduct
About Peter Goffin formerly with Newbridge Securities Corporation?
Peter Goffin (CRD #1617710) has had a long tenure in the financial services industry, though he is not currently registered. His career includes previous registrations with Newbridge Securities Corporation, Wachovia Securities Financial Network, LLC, and JW Charles Securities, Inc., among others. Over his career, Goffin has passed a principal/supervisory exam, two general industry/product exams, and two multi-state securities law exams. His registration history shows involvement in multiple states, reflecting a broad reach within the U.S. securities market.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Peter Goffin Customer Complaints and Reviews
Peter Goffin’s professional record includes several notable disclosure events:
- Regulatory Events (1 instance): A final regulatory action resulted in a censure and monetary fines due to recommendations that led customers to incur unnecessary sales charges.
- Customer Disputes (8 instances):
- Settled Disputes: Include claims of unsuitability, breach of contract, and breach of fiduciary duty, with several resulting in financial settlements.
- Pending Disputes: Currently, there are pending claims involving allegations of breach of fiduciary duty, failure to supervise, and misrepresentation.
Allegations Against Peter Goffin
- Regulatory Actions:
- Accused of making unsuitable mutual fund switching recommendations that resulted in additional sales charges for customers.
- Customer Complaints:
- Allegations of unsuitability and misrepresentation, specifically involving the improper recommendation of financial products that did not align with customer objectives.
- Claims of breach of fiduciary duty and failure to supervise, reflecting issues with oversight and ethical conduct.
Peter Goffin Red Flags & Your Rights As An Investor
Of course, Peter Goffin did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Peter Goffin at Newbridge Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Peter Goffinhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities Corporation also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Newbridge Securities Corporation Due To Peter Goffin
If you have questions about Newbridge Securities Corporation and/or Peter Goffin and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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