ADAM SCOTT GOLDMAN is currently employed as a Broker and/or Investment Adviser at MESIROW FINANCIAL, INC. located at 610 CENRAL AVENUE, SUITE 200, HIGHLAND PARK, IL, 60035.
ADAM SCOTT GOLDMAN has worked at MESIROW FINANCIAL, INC. since October 09, 2000
ADAM SCOTT GOLDMAN has 1 Disclosure Event(s).
Date: February 10, 1997 Category: Customer Dispute Allegations: CUSTOMER ALLEGED UNAUTHORIZED TRANSACTIONSWITH DAMAGES EXCEEDING $19,000.00. Settlement Amount: $19,294.03 Broker Comment: FIRM REVERSED TRANSACTIONS IN QUESTION ANDCENSURED ADAM GOLDMAN. MR. GOLDMAN IS CHARGED WITH LOSSESTOTALLING $19,294.03.I HAD ORIGINALLY SENT A PROSPECTU ON ITH TO [CUSTOMER] AN THEN CONFIRMED AN INDICATION OF INTEREST FOR HIMIN THE AMOUNT OF 5000 SHARES WITH THE SPOKANE OFFICE. LATER,WHEN THE DEAL WAS PRICED AND ALLOCATED, I CALLED [CUSTOMER]TO RECONFIRM HIS INDICATION AND CONVERT IT TO AN ORDER TICKET.AS I DID NOT RECEIVE ALL THE SHARES I HAD INDICATED INTERESTFOR; I WAS PLANNING TO ALLOCATE HIM 4500 SHARES. UPON SPEAKINGWITH HIM, HE HAD DECIDED TO CANCEL HIS INDICATION OF INTERESTAND HAD NO DESIRE TO PARTICIPATE IN THE DEAL. I THEN CANCELLEDHIS INDICATION WITH THE SPOKANE OFFICE BY TELEPHONE AND THOUGHTI HAD REDUCED MY ALLOCATION BY 4500 SHARES. UNFORTUNATLEY, THEYHAD PROCESSED A TICKET; AND [CUSTOMER'S]ACCOUNT WAS BEINGTRANSFERRED AND AS I WAS NEW TO THE FIRM AND WE WERE GETTINGOUR SYSTEMS SET UP IN CHICAGO, I DID NOT NOTICE THIS MISTAKE.THIS WAS MY ERROR AND I WAS CHARGED ACCORDINALY.
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