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Written by 6:27 am Blog, Securities Fraud Articles

Henry Thomas Goode fined and suspended by FINRA

FINRA recently announced that Henry Thomas Goode, a former registered representative with Wachovia Securities in Indialantic, Florida, has been fined $5,000 and suspended from association with any FINRA member in any capacity for 60 days.

Without admitting or denying the findings, Goode consented to the described sanctions and to the entry of findings that he failed to execute a customer’s instructions to liquidate positions in the customer’s accounts, and the value of securities in the account declined precipitously with the customer incurring losses exceeding more than $1 million dollars.

According to his FINRA Broker Report (CRD), prior to working as a registered representative with Wachovia Securities, Henry Thomas Goode was a registered representative with Merrill Lynch.

If you have questions regarding investments you made with Henry Thomas Goode or Wachovia Securities, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help.

The White Law Group is a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. The firm has over 30 years of experience reviewing securities fraud claims and handles matters throughout the country and Florida, including reviewing securities fraud cases in Mebourne, Indialantic, Palm Bay, Merritt Island, Sebatian, Cocoa Beach, Vero Beach, and Daytona Beach. To contact the firm, please call 312-238-9650. Or, for more information on The White Law Group, please visit our website at https://whitesecuritieslaw.com.

Tags: , , , , , , , , Last modified: December 1, 2022