MITCHELL STEIN

MITCHELL STEIN is currently employed as a Broker and/or Investment Adviser at GOLDMAN SACHS & CO. LLC located at 200 WEST STREET, NEW YORK, NY, 10282-2198.

MITCHELL STEIN has worked at GOLDMAN SACHS & CO. LLC since August 23, 2013

Disclosure History

MITCHELL STEIN has 1 Disclosure Event(s).

Date: January 04, 2017
Category: Judgment / Lien
Judgment/Lien Amount: $2,460.00
Judgment/Lien Type: Tax
Broker Comment: Representative is in the process of contesting the lien.

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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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