TOM SAMUEL GOODMAN is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA ADVISORS, INC. located at 5885 LANDERBROOK DR, STE 200, MAYFIELD HEIGHTS, OH, 44124.
TOM SAMUEL GOODMAN has worked at SECURITIES AMERICA ADVISORS, INC. since November 10, 2006
TOM SAMUEL GOODMAN is also currently employed as a Broker and/or Investment Adviser at CEDAR BROOK GROUP located at 5885 LANDERBROOK DRIVESUITE 200, CLEVELAND, OH, 44124 since October 11, 2006
TOM SAMUEL GOODMAN is also currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 5885 LANDERBROOKSUITE 200, MAYFIELD HEIGHTS, OH, 44124 since October 11, 2006
Disclosure History
TOM SAMUEL GOODMAN has 1 Disclosure Event(s).
Date: May 24, 2010 Category: Customer Dispute Allegations: IN CONNECTION WITH THE RECOMMENDATION AND SALE OF MEDICAL CAPITAL, CLAIMANTS ALLEGE FRAUD, NEGLIGENCE, MISREPRESENTATION AND OMISSION OF MATERIAL FACTS, VIOLATIONS OF FINRA RULES. IN CONNECTION WITHTHE SALE OF GOLDMAN SACHS, CLAIMANTS ALLEGE OVERCONCENTRATION. Damage Amount Requested: $3,966,000.00 Settlement Amount: $2,761,026.27 Broker Comment: I DENY ALL ALLEGATIONS. I AM AN INSURANCE SPECIALIST FOR THE FIRM, AND MY ONLY ROLE IN THIS MATTER WAS MY REFERRAL OF TWO INSURANCE CLIENTS TO REGISTERED REPRESENTATIVES AT THE FIRM WHO COULD ASSIST THESE CLIENTS WITH INVESTMENTS. 10/03/2011: THE PORTION OF THIS CLAIM RELATING TO MEDICAL CAPITAL WAS PART OF A GLOBAL SETTLEMENT INITIATED BY SECURITIES AMERICA, INC. CLAIMS RELATING TO ADDITIONAL PRODUCTS CONTINUE AT THIS TIME. 01/12/2012: I WAS DISMISSED FROM THIS MATTER WITH PREJUDICE.
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