Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 12, 2016 indicate that Florida-based UBS Financial Services broker Brian Gold has received settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gold (CRD# 2336491).
Brian Gold has spent 23 years in the securities industry and has been registered with UBS Financial Services in Aventura, Florida since September 2015. Previous registrations include Merrill Lnch in Aventura, Florida (2006-2014); AdVest in Hartford, Connecticut (2004-2006); Morgan Stanley in Purchase, New York (2000-2004); and Prudential Securities in New York, New York (1993-2000). He is a registered broker and investment adviser with thirteen US states and territories: California, the District of Columbia, Florida, Maryland, New Jersey, New York, North Carolina, Pennsylvania, Texas, Vermont Virginia, and Washington.
According to his BrokerCheck report, Brian Gold has received three customer complaints and one pending customer complaint.
In 2010, a customer alleged Brian Gold, while employed at Merrill Lynch, misrepresented material facts, made unsuitable investment recommendations, and failed to obtain prior consent. The complaint settled in 2012 for $125,000.
In 2009, a customer alleged Brian Gold, while employed at Merrill Lynch, engaged in unspecified misconduct related to the sale of an auction rate security. The complaint settled for $150,000.
In 2006, a customer alleged Brian Gold, while employed at Merrill Lynch, made unsuitable investment recommendations. The complaint settled in 2007 for $5,200.
In 2004, Brian Gold was discharged from his position at Morgan Stanley following allegations he used a discretionary form without firm approval.
If you have lost money investing with Brian Gold, you may be entitled to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.