May 2017-San Antonio, TX
The FINRA records of Marie P. Goforth , a stockbroker who is currently employed by Capital Financial Service disclose 2 prior customer disputes and a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
May 4, 2017, Goforth’s registration, as both a securities agent and an investment adviser, was suspended by the Texas State Securities Board (TSSB) for a period of 45 days. In the TSSB Disciplinary Order the following findings of fact were made:
- While registered with LPL Financial, Goforth maintained numerous blank forms signed by her clients in her client files.
- LPL Financial’s supervisory procedures prohibited maintaining blank forms signed by clients
- While registered with LPL, Goforth reused a form signed by a client for two third party checks in violation of LPL procedures
In July 2016 Goforth was discharged by LPL Financial who made the following allegation on her FINRA record: “Violation of firm’s signature policy”.
Marie Goforth was employed by LPL Finanical from 9/2009-8/2016. She has been employed by Capital Financial Services since 1/2017. Goforth discloses business affiliations with MG Financial Strategies. Goforth is also known as Marie Goforthreed.
If you have questions about an account handled by Marie P. Goforth call for a no charge consultation.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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