November 27, 2023 – An AWC was issued in which Golding was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Golding consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA during the course of a matter originated from a Form U5 filed by his member firm that disclosed that he voluntarily resigned after allegations that he electronically submitted non-genuine client signatures on annuity applications, misdated a company form, and communicated via text outside the company’s monitoring platform. (FINRA Case #2022076240401)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
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