LAWRENCE GOLDSTEIN of McNally Financial BARRED – Sparks, NV
Lawrence Goldstein, formerly with McNally Financial Services, Barred by FINRA
Have you lost money with financial advisor Lawrence Goldstein? We are looking into allegations made about Lawrence B. Goldstein from Sparks, Nevada. FINRA (the Financial Industry Regulatory Authority) barred Larry Goldstein from the securities industry. FINRA alleged that Larry Goldstein failed to respond to its investigation. Goldstein was being investigated for allegations that he excessively traded a customer’s account.
Lawrence Goldstein was a financial advisor and registered representative of McNally Financial Services from 2010 to February 2020. He worked in a branch office in Sparks, Nevada.
Brokerage firms like McNally Financial Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Phoenix, Arizona; Seattle, Washington; Denver, Colorado; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including throughout Nevada. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
If you lost money with Lawrence Goldstein or McNally Financial Services, please CONTACT US at 720-599-3505 for a free evaluation of your case.
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