CLIFFORD HOWARD GOLDMAN

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.

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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