FREDERIC HAROLD GOLDSTEIN is currently employed as a Broker and/or Investment Adviser at MOORS & CABOT, INC. located at 111 DEVONSHIRE ST, BOSTON, MA, 02109.
FREDERIC HAROLD GOLDSTEIN has worked at MOORS & CABOT, INC. since May 09, 1989
Disclosure History
FREDERIC HAROLD GOLDSTEIN has 2 Disclosure Event(s).
Date: October 25, 2006 Category: Customer Dispute Allegations: PERFORMANCE OF ACCOUNT Damage Amount Requested: $500,000.00 Broker Comment: CUSTOMER INITIATED COMPLAINT ALLEGING A LOSS OF $500,000. FIRM REVIEW OF THE CUSTOMER ACCOUNTS FROM 3/04(INCEPTION)TO 11/06 DO NOT SHOW ANY LOSS BUT RATHER A GAIN IN VALUE. FIRM FOUND CLAIM TO BE WITHOUT MERIT AND ADVISED CUSTOMER THE MATTER WAS CLOSED IN A LETTER DATED 11/30/2006.
Date: August 27, 1987 Category: Regulatory
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for FREDERIC HAROLD GOLDSTEIN, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.