MICHAEL JACK GOODMAN

MICHAEL JACK GOODMAN is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES FINANCIAL SERVICES, INC. located at 409 KING HILL ROAD, SUITE 180, SOUTH PARIS, ME, 04281.

MICHAEL JACK GOODMAN has worked at RAYMOND JAMES FINANCIAL SERVICES, INC. since June 03, 2016

Disclosure History

MICHAEL JACK GOODMAN has 1 Disclosure Event(s).

Date: June 18, 2002
Category: Customer Dispute
Allegations: CLIENTS ALLEGE THEY WERE NOT AWARE OF THE PURCHASE OF PJRCX AN INITIAL PUBLIC OFFERING. DAMAGES CLAIMED ARE $235000.00.
Damage Amount Requested: $235,000.00
Broker Comment: THIS MATTER IS PENDING. CUSTOMER TOLD ME HE WANTED TO SELL & TAKE A PROFIT ON IT'S AWSHX FUND. I TALKED TO HIM ABOUT THE NEW PJRCX FUND ON SEVERAL OCCASIONS AND CUSTOMER INSTRUCTED ME TO SELL ALL THE AWSHX AND BUY PJRCX WITH THE PROCEEDS.

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.

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