Leslie Goldstein is an Illinois based securities broker. He has worked in the securities industry for thirty-three years. During his career, he has been registered with nine different securities firms.
His registrations include; Dean Witter Reynolds (1984-1987), Private Ledger Financial Services (1987), A.S.A. Investment Company (1987-1990), Equityline Securities (1990-1994), Cousins Securities Corporation (1994-1996), Harbour Investments (1996-1997), Edwin C. Blitz Investments (1997-2001), Sigman Financial Corporation (2001-2014), and Securities America (2014-Present).
Leslie Goldstein’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career.
In August 1987, a customer alleged that he directed Leslie Goldstein to invest their funds into an IRA account, however, Goldstein failed to follow these instructions. This case was settled for $19,500 in damages.
In March 1990, a customer alleged sales of unregistered securities. This case was settled for $30,000 in damages.
In July 2018, customers alleged that Goldstein concentrated their accounts in illiquid investments, annuities, life insurance, and non-traded REITS, all of which were deemed unsuitable by the customers. The customers also alleged churning, excessive commissions, breach of fiduciary duty, and negligence. This case is currently pending. The customers are seeking $1,000,000 in damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Leslie Goldstein, please contact Oakes & Fosher for a free and private consultation.