Newbridge Securities Financial Advisor, Peter Goffin, Has Nine Customer Complaints
Peter Goffin is a Financial Advisor at Newbridge Securities Corporation in Boca Raton, FL. Peter Goffin has been in the securities industry since 1987 and previously worked at Wachovia Securities Financial Network, JW Charles Securities and Commvest Securities.
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Peter Goffin is the subject of nine customer complaints, including the following:
- March 2019 – “CLAIMANT ALLEGES: BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, NEGLIGENCE.” The alleged damages are $150,000 and the matter is currently pending.
- July 2003 – “ATTORNEY FOR FLORIDA RESIDENT CLAIMS MUTUAL FUND PURCHASES AUGUST 1999 WERE UNSUITABLE BASED ON CLIENT’S AGE, INVESTMENT OBJECTIVES, AND NET WORTH.” The matter settled for $16,500.
- July 2003 – “ATTORNEY FOR FLORIDA RESIDENT CLAIMS MUTUAL FUNDS PURCHASED IN 2000 WERE UNSUITABLE GIVEN CLIENT’S AGE, NET WORTH, AND INVESTMENT OBJECTIVES.” The matter settled for $29,500.
- October 1993 – “UNSUITABILITY – DAMAGES ALLEGED APPROX $20,000.” An arbitration panel awarded the customer $48,000.
In addition, the NASD censured Peter Goffin in 1995, ordered disgorgement of commissions and fined hin $5,000.
For a copy of Peter Goffin’s CRD, click https://brokercheck.finra.org/individual/summary/1617710#disclosuresSection.
Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
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