{"id":681,"date":"2017-04-05T20:46:19","date_gmt":"2017-04-06T00:46:19","guid":{"rendered":"http:\/\/www.elderfinancialfraudattorneys.com\/?p=681"},"modified":"2018-10-04T15:49:56","modified_gmt":"2018-10-04T19:49:56","slug":"scott-goldman-receives-fine-suspension-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/scott-goldman-receives-fine-suspension-finra\/","title":{"rendered":"Scott Goldman Receives Fine and Suspension from FINRA"},"content":{"rendered":"

\"Scott<\/a><\/h2>\n

The sanctions resulted after allegations of unsuitable investments for an elderly client<\/h2>\n

In December of 2016, allegations surfaced claiming that broker Scott Goldman recommended an unsuitable investment strategy to an elderly customer. When the Financial Industry Regulatory Authority (FINRA) investigated, the agency fined Goldman $10,000 and suspended him for 20 days.<\/p>\n

FINRA reported that Goldman\u2019s strategy for his client involved leveraged metal products, which are risky investments. According to the report, the client was also not \u201cadequately informed\u201d of what the investment entailed and she didn\u2019t understand the risks.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The sanctions resulted after allegations of unsuitable investments for an elderly client In December of 2016, allegations surfaced claiming that broker Scott Goldman recommended an unsuitable investment strategy to an elderly customer. When the Financial Industry Regulatory Authority (FINRA) investigated, the agency fined Goldman $10,000 and suspended him for 20 days. FINRA reported that Goldman\u2019s […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[1102],"tags":[9],"class_list":["post-681","post","type-post","status-publish","format-standard","hentry","category-blog","tag-finra"],"yoast_head":"\nScott Goldman : Elder Financial Fraud Alert<\/title>\n<meta name=\"description\" content=\"Scott Goldman allegedly recommended unsuitable investments to an elderly client and didn't disclose the risky nature of the investment.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/scott-goldman-receives-fine-suspension-finra\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Scott Goldman : Elder Financial Fraud 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