James Goetz

08/02/2017: FINANCIAL 1NDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEPHEN BROWN (CRD No. 1799847), JAMES GOETZ (CRD No. 2826111), Respondents. Disciplinary Proceeding No. 2014042690502 Hearing Officer-CC AMENDED EXTENDED HEARING and PANEL DECISION Date: August 2, 2017 Brown invested in securities away from the firm without providing the firm with accurate information about his investments. In some instances, Brown failed to

08/25/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEPHEN BROWN (CRD No. 1799847) and JAMES GOETZ I (CRD No. 2826111), Respondents. Disciplinary Proceeding No. 2014042690502 Hearing Officer-CC POST-DECISION ORDER REVISING SUSPENSION START DATE FOR RESPONDENT GOETZ On August 2, 2017, I issued an Amended Extended Hearing Panel Decision,1 in which Respondent James Goetz was fined $25,000 and suspended from associating with any member

04/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Stephen Brown (CRD No. 1799847) and James Goetz (CRD No. 2826111), Respondents. DISCIPLINARY PROCEEDING No. 2014042690502 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Stephen Brown and James Goetz were partners in the Brown Group, a registered investment advisory firm, and former registered representatives of Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch" or "the Firm").

Reference 2014042690502data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org