Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 21, 2017 indicate that California-based UBS Financial Services broker/adviser Lane Goldstein has been named in a pending customer complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Goldstein (CRD# 855132).
Lane Goldstein has spent 38 years in the securities industry and has been registered with UBS Financial Services in Beverly Hills, California since 2007. Previous registrations include Citigroup Global Markets in Beverly Hills, California and Lehman Brothers in New York, New York. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser in nine US states: Arizona, California, Connecticut, Florida, Ohio, Nevada, New York, Tennessee and Washington.
According to his BrokerCheck report, Lane Goldstein has received one pending customer complaint and one denied customer complaint.
In November 2016 a customer alleged Lane Goldstein, while employed at UBS Financial Services, acted negligently, breached contract, failed to supervise, and that “unsuitable investments were transferred into her individual account when her husband passed away, leaving her the assets held in his individual account.” The customer is seeking $240,000 in damages in the pending complaint.
In 2002 a customer alleged Lane Goldstein, while employed at Salomon Smith Barney, provided self-serving advice. The customer sought unspecified damages in the complaint, which was denied.
If you or someone you know has a complaint regarding Lane Goldstein, call the attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. You may have a limited window by law to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.