ELIZABETH ANN GOELTZ is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 230 2ND STREET, SUITE #500, HENDERSON, KY, 42420.
ELIZABETH ANN GOELTZ has worked at CENTAURUS FINANCIAL, INC. since September 18, 2017
ELIZABETH ANN GOELTZ has 1 Disclosure Event(s).
Date: November 19, 2010 Category: Employment Separation After Allegations Firm Name: MORGAN STANLEY SMITH BARNEY Termination Type: Discharged Allegations: CONCERNS THAT FINANCIAL ADVISOR SOLICITED SECURITIES TO CERTAIN CLIENTS IN VIOLATION OF STATE BLUE SKY LAWS. Broker Comment: MORGAN STANLEY SMITH BARNEY ALLEGES THAT IT TERMINATED MY EMPLOYMENT DUE TO CONCERNS REGARDING THE POSSIBLE SOLICITATION OF AN UNREGISTERED BOND IN VIOLATION OF STATE BLUE SKY LAWS. FIRST, I VEHEMENTLY DENY THE ALLEGATIONS THAT I SOLICITED THE SALE OF ANY SUCH BOND. THE SALE OF THE BOND IN QUESTION WAS UNSOLICITED. I HAD PROVIDED A COPY TO MORGAN STANLEY SMITH BARNEY DURING THEIR INVESTIGATION, LETTERS FROM EACH OF MY CLIENTS STATING THEY WANTED TO PURCHASE THE BOND. THERE WAS NO EVIDENCE THAT I SOLICITED THE SALE OF THE BOND AT ISSUE IN VIOLATION OF THE STATE BLUE SKY LAWS. MOREOVER, A MALE COLLEAGUE OF MINE AT MORGAN STANLEY SMITH BARNEY SOLICITED THE SALE OF THE SAME BOND THAT WAS AT ISSUE; HOWEVER THAT INDIVIDUAL WAS NOT INVESTIGATED, DISCIPLINED NOR TERMINATED. PRIOR TO MY TERMINATION, I HAVE NEVER BEEN DISCIPLINED IN ANYWAY DURING MY 6 YEAR EMPLOYMENT AT MORGAN STANLEY SMITH BARNEY. IN SUM, MORGAN STANLEY SMITH BARNEY HAS KNOWINGLY REPORTED UNSUBSTANTIATED ALLEGATIONS AGAINST ME AND FALSELY REPORTED IT'S MOTIVATION FOR TERMINATING ME.
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