GREGORY EVAN GOLDSTEIN

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/06/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GREGORY GOLDSTEIN, CRD No. 2412387, Respondent. DISCIPLINARY PROCEEDING No. 2011030210103 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period October 2008 through August 2009, Respondent Gregory Goldstein made unauthorized trades in the accounts of two customers after his firm, Marquis Financial Services, lnc., acquired the accounts from a defunct broker-dealer.
Reference 2011030210103data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/17/2014: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 71970 / April 17, 2014 Admin. Proc. File No. 3-15183 In the Matter of the Application of GREGORY EVAN GOLDSTEIN c/o Martin P. Unger Wexler Burkhart Hirschberg & Unger, LLP 377 Oak Street, Concourse Level C2 Garden City, NY 11530 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDINGS Failure to Provide Requested
Reference 2011030210103data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2412387

Other names1

Also known as1

GREGORY GOLDSTEIN

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