RONALD DAVID GOLDMAN

RONALD DAVID GOLDMAN is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 3027 TOWNSGATE ROAD, SUITE 100, WESTLAKE VILLAGE, CA, 91361.

RONALD DAVID GOLDMAN has worked at RAYMOND JAMES & ASSOCIATES, INC. since March 05, 2008

Disclosure History

RONALD DAVID GOLDMAN has 1 Disclosure Event(s).

Date: October 31, 1991
Category: Customer Dispute
Allegations: THAT I NEGLIGENTLY FAILED TO SUPERVISE THETRADING IN THE CLIENT'S ACCOUNT.
Damage Amount Requested: $250,000.00
Settlement Amount: $23,500.00
Broker Comment: SETTLED FOR $23,500.00. I WAS NOT REQUIRED TOCONTRIBUTE TO THE SETTLEMENT.THE TRADES WHICH WERE LATER ALLEGED TO BEUNSUITABLE WERE ALL DONE AT THE DIRECTION OF THE CLIENT WHO ATTHE SAME TIME, ENGAGED IN A SIMILAR PATTERN OF TRADING ATANOTHER FIRM. THE CLIENT WAS A SOPHISTICATED PROFESSIONALBUSINESSWOMAN. THE ACCOUNT WAS PROFITABLE UNTIL THE STOCKMARKET CRASH IN OCTOBER, 1987. THE LOSSES IN THE CLIENT'SACCOUNT ARE ATTRIBUTABLE TO THAT EXTRAORDINARY EVENT. MYSUPERVISION OF THE TRADING IN THE ACCOUNT WAS ENTIRELYAPPROPRIATE. THE CASE WAS SETTLED FOR BUSINESS REASONS.

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