Ward David Goldberg (CRD#1325743) and SECURIAN FINANCIAL SERVICES, INC.

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Ward David Goldberg (CRD#1325743) regarding allegations made regarding the following:

Claim(s) Made Against Ward David Goldberg:

Claim Date: 11/17/1988

“Customer [REDACTED] complained that unauthorized trades were made in her account. The trades were made with her permission. She received trade confirmations for each transaction. It was only after she saw that she was losing money that she decided to make a complaint. This happened many weeks after the transactions took place. There was never any wrong doing on my part as a later NASD investigation proved. There wasn‘t any penalty, payment or fine on my part. This happened in October 1987 as a result of the market crash.”

This claim, as of this posting, is currently Closed-No Action.

See more information on FINRA’s BrokerCheck site for Ward David Goldberg.

Have an issue with Ward David Goldberg?

If you were a client of Ward David Goldberg and SECURIAN FINANCIAL SERVICES, INC. from UNIONDALE, NY and had a negative experience, we are interested in discussing the possibility of pursuing a claim on your behalf. Brokerage firms are responsible for overseeing the actions of their registered representatives and must ensure that their financial advisors comply with all relevant regulations and company policies. The brokerage firm may be held liable for any investment losses suffered by customers due to their failure to properly supervise their agents, such as Ward David Goldberg. The Securities Lawyers at Halling & Cayo, S.C. have helped investors recover millions of dollars in the past.

The Securities Lawyers are researching bringing claims on behalf of individual(s) and/or a group of investors for recovery of their funds. Most customers will have signed a FINRA arbitration agreement to resolve disputes, including claims for reimbursement of these types of investment losses. As the SEC reminds investors, it can be important to find an attorney that “specializes in resolving securities complaints.” If you were a customer of Ward David Goldberg and SECURIAN FINANCIAL SERVICES, INC. and suffered investment losses, please contact the Securities Lawyers. We only get paid if we recover your money. Your claim may be subject to a time limit or statute of limitations, so contact an attorney right away.


Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.