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Robert Lee Golding Barred by FINRA  

Robert Lee Golding Barred by FINRA  featured by top securities fraud attorneys, the White Law Group

FINRA Bars Robert Lee Golding after Allegations of Forgery 

According to public records, on November 27, 2023, FINRA, the self-regulator that oversees brokers and brokerage firms, has reportedly barred financial advisor Robert Golding (CRD#: 5324763) from associating with any FINRA member at any time.

On September 12, 2022, Pruco Securities reportedly filed a Uniform Termination Notice (Form U5) disclosing that Golding voluntarily resigned after allegations that he “electronically submitted non-genuine client signatures on two annuity applications, misdated a company form, and communicated via text outside the Company’s monitoring platform.”

Golding reportedly refused to produce information and documents requested by FINRA and consequently was barred from the securities industry.

FINRA Rule 8210(c) requires registered representatives to provide “information or testimony . . . pursuant to this Rule.” A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade in the conduct of their business.”

FINRA BrokerCheck Report – Robert Lee Golding 

Golding reportedly has one customer complaint on his broker record. Allegations include “rep forged their electronic signature to open new contracts.”

According to this FINRA BrokerCheck report, Robert Lee Golding was affiliated with the following firms during his career, among others:

02/08/2018 – 09/12/2022, PRUCO SECURITIES, LLC. (CRD#:5685), Alpena, MI,
B, 03/25/2017 – 02/09/2018, MML INVESTORS SERVICES, LLC (CRD#:10409), ALPENA, MI
B, 10/08/2007 – 03/25/2017, MSI FINANCIAL SERVICES, INC. (CRD#:14251), ALPENA, MI

The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA.

FINRA BrokerCheck provides investors with detailed information about the professional history, qualifications, and regulatory actions of brokers and brokerage firms. Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them.

Filing a Complaint against your Brokerage Firm 

When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.

If you have suffered investment losses with Robert Golding and Pruco Securities, the securities attorneys at the White Law Group may be able to help you. For a free consultation with a securities attorney, please call (888) 637-5510.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases.

Our firm represents investors in all types of securities related claims, including claims involving stock fraud, broker misrepresentation, churning, unsuitable investments, selling away, and unauthorized trading, among many others.

With over 30 years of securities law experience, The White Law Group has the expertise to help investors to recover their securities fraud losses.  For more information, please visit our website, www.whitesecuritieslaw.com.




Tags: , , Last modified: November 30, 2023