Gary Goldberg & Co. LLC
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/12/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064776202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gary Goldberg & Co., LLC, formerly known as Bruderman Brothers LLC (Respondent) Former Member Firm CRD No. 47957 Pursuant to FINRA Rule 9216, Respondent Gary Goldberg & Co., LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019064776202data-portal.finra.orgfinra.org
Other names1
Previously known as1
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