LEONARD ALLEN GOLDBERG
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Leonard Allen Goldberg, (CRD No, 223972), Respondent. DISCIPLINARY PROCEEDING No. 2011026098504 Hearing Officer __ COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the seven year period from August 2007 through August 2014, while he was registered with FINRA through associations with two different FINRA regulated firms -- J.P. Turner & Company, LLP and Newport Coast Securities
04/11/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Leonard Allen Goldberg, (CRD No. 223972), Respondent. DISCIPLINARY PROCEEDING No. 2011026098504 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Disciplinary Proceeding No. 2011026098504 was filed August 28,2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Leonard Allen Goldberg (CRD No. 223972) submitted an Offer of
Reference 2011026098504data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 223972 |
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