BRUCE GOLDMAN is currently employed as a Broker and/or Investment Adviser at CHARLES SCHWAB & CO., INC. located at 525 WASHINGTON BLVD., JERSEY CITY, NJ, 07310.
BRUCE GOLDMAN has worked at CHARLES SCHWAB & CO., INC. since August 12, 2005
Disclosure History
BRUCE GOLDMAN has 7 Disclosure Event(s).
Date: March 22, 2010 Category: Customer Dispute Allegations: CUSTOMER ALLEGES MISREPRESENTATION IN CONNECTION WITH THE PURCHASE OF THE SCHWAB YIELD PLUS FUND ON FEBRUARY 15, 2006. Damage Amount Requested: $61,325.00 Settlement Amount: $27,000.00
Date: October 07, 2009 Category: Customer Dispute Allegations: BREACH OF CONTRACT, NEGLIGENCE, BREACH OF FIDUCIARY DUTY, MISREPRESENTATION, OMISSION OF FACTS, FAILURE TO DISCLOSE Damage Amount Requested: $143,047.77 Broker Comment: THE FIRM SETTLED THE CLAIMS TO AVOID THE COST AND UNCERTAINTY OF LITIGATION, WITH NO ADMISSION OF WRONGDOING AND NO MONETARY CONTRIBUTION FROM THE REPRESENTATIVE.
Date: July 20, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION WITH REGARDS TO THE NUVEEN MUNICIPAL AUCTION PREFERRED SECURITIES. Damage Amount Requested: $275,000.00 Broker Comment: I BELIEVE THIS ACCUSATION TO BE INACCURATE. NO RECORD HAS BEEN FOUND OF MY STATEMENT TO THE CLIENT VERIFYING HIS CLAIMS. I DENY ANY WRONGDOING IN THIS MATTER.
Date: May 29, 2009 Category: Customer Dispute Allegations: CUSTOMER ALLEGES MISREPRESENTATION IN CONNECTION WITH THE REQUEST TO SELL THE MASSACHUSETTS ST VAR 2040 SECURITY IN MARCH, 2008. Damage Amount Requested: $900,000.00 Settlement Amount: $5,000.00 Broker Comment: I BELIEVE THIS COMPLAINT IS UNFOUNDED WITHOUT FACTUAL BASIS OF SUPPORT. I DENY ANY WRONGDOING IN THIS MATTER, WHICH BEGAN IN 2002, BEFORE I JOINED THE DEPARTMENT WHERE THIS TRANSACTION TOOK PLACE.
Date: January 29, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION WITH REGARDS TO NOT BEING INFORMED THAT HE WAS ELIGIBLE FOR OTHER CLASSES OF FUNDS WITH LOWER EXPENSE RATIOS AND HIGHER YIELDS. Damage Amount Requested: $30,000.00 Settlement Amount: $22,464.55 Broker Comment: THE FIRM SETTLED THE COMPLAINT TO AVOID THE COST AND UNCERTAINTY OF LITIGATION, WITH NO ADMISSION OF WRONGDOING AND NO MONETARY CONTRIBUTION FROM THE REPRESENTATIVE.
Date: September 30, 2008 Category: Customer Dispute Allegations: CUSTOMER ALLEGES MISREPRESENTATION REGARDING THE PURCHASE OF FREDDIE MAC PREFERRED STOCK ON 6/24/08. Damage Amount Requested: $48,000.00
Date: June 02, 2008 Category: Customer Dispute Allegations: CUSTOMER ALLEGES UNSUITABLE RECOMMENDATION REGARDING A MUTUAL FUND PURCHASED ON 02/02/2007. Damage Amount Requested: $20,000.00 Settlement Amount: $20,000.00 Broker Comment: THE FIRM SETTLED THE COMPLAINT TO AVOID THE COST AND UNCERTAINTY OF LITIGATION, WITH NO ADMISSION OF WRONGDOING AND NO MONETARY CONTRIBUTION FROM THE REPRESENTATIVE.
More Information
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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