CLIFFORD HOWARD GOLDMAN is currently employed as a Broker and/or Investment Adviser at IDFC CAPITAL (USA) INC. located at 144 EAST 44TH STREET, 8TH FLOOR, NEW YORK, NY, 10017.
CLIFFORD HOWARD GOLDMAN has worked at IDFC CAPITAL (USA) INC. since February 23, 2017
Disclosure History
CLIFFORD HOWARD GOLDMAN has 3 Disclosure Event(s).
Date: May 24, 2016 Category: Regulatory
Date: December 13, 2012 Category: Financial Type: Bankruptcy Broker Comment: MARCO POLO CAPITAL MARKETS FILED AN INVOLUNTARY PETITION FOR A REORGANIZATION UNDER CHAPTER 11.
Date: November 10, 1986 Category: Regulatory Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Resolution: Consent SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $250.00 Broker Comment: COUNTY NATWEST STATED THAT MR. GOLDMAN HAD NO OPERATIONAL RESPONSIBILITY FOR THE FAILURE TO FILE THE FIRM'S FOCUS REPORTS, WHICH OCCURRED PRIOR TO HIS JOINING COUNY NATWEST SECURITIES IN THE FIRM'S NY OFFICE AFTER AN ORIENTATION PERIOD IN ITS LONDON HEADQUARTES.
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