FREDERIC HAROLD GOLDSTEIN

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

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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.

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