Public records published by the Financial Industry Regulatory Authority (FINRA) on December 12, 2016 indicate that Florida-based Harbor Light Securities broker/adviser Christopher Goslin has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Goslin (CRD# 1720162).
Christopher Goslin has spent 29 years in the securities industry and has been registered with Harbor Light Securities in Tampa, Florida since 2012. Previous registrations include JP Turner & Company in Tampa, Florida; Gunnallen Financial in Tampa, Florida; Wachovia Securities in St. Louis, Missouri; Painewebber in Weehawken, New Jersey; Glenfed Brokerage Services in Glendale, California; and Merrill Lynch in New York, New York. He is a registered broker and investment adviser in Florida.
According to his BrokerCheck report, Christopher Goslin has received eight customer complaints, three pending customer complaints, and two FINRA sanctions.
In September 2016 FINRA sanctioned Christopher Goslin following allegations he “failed to provide prior written notice to, and receive approval from his member firm, of an outside business activity from which he had a reasonable expectation of compensation.” According to FINRA’s complaint: “Specifically, the outside business activity was a limited liability corporation that had been formed for tax and asset protection purposes. At the time of its formation, Goslin, who was not an owner or officer, reasonably expected to be compensated in the form of distributions from the corporation, and, in fact, he received monetary distributions from the outside business.” He was issued a one-month suspension and fine of $5,000.
In May 2016 a customer alleged Christopher Goslin, while employed at Harbor Light Securities, mismanaged a trust and improperly charged trust fees. The customer is seeking $15,000 in damages in the pending complaint.
In October 2015 a customer alleged he, while employed at Gunallen Financial, breached his fiduciary duty, misrepresented and omitted material facts, and failed to perform a reasonable basis suitability analysis. The customer is seeking more than $605,400 in damages in the pending complaint.
In 2010 a customer alleged he, while employed at Gunnallen Financial, misrepresented material facts. The complaint settled for $77,000.
If you have complaints regarding Christopher Goslin, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.