LAWRENCE BURTON GOLDSTEIN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/10/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058820102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lawrence Goldstein (Respondent) Former General Securities Representative CRD No. 2282699 Pursuant to FINRA Rule 9216, Respondent Lawrence Goldstein submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018058820102data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2282699

Other names1

Also known as1

Lawrence Goldstein

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