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Robert Golding: FINRA Bars Former Pruco Securities Advisor
Former Alpena, Michigan financial advisor Robert Golding (CRD# 5324763) was recently sanctioned and barred from acting as a broker following an investigation into alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Pruco Securities and that he has received an investor complaint.
Mr. Golding’s BrokerCheck report discloses the recent FINRA sanction against him. Filed in November 2023, it alleged that he refused to provide information and documents requested in connection with the regulator’s investigation into the circumstances surrounding his resignation from his former member firm. FINRA rules, for reference, empower FINRA to require persons under its jurisdiction to provide information with respect to matters under its investigation. They also require brokers to comply with such requests. As a result of his alleged failure to cooperate with the investigation, FINRA indefinitely barred Mr. Golding from registering with any FINRA member firm in any capacity.
A second disclosure on his BrokerCheck report concerns an investor complaint against him. Filed in November 2022, it alleged that as a representative of Pruco Securities, he forged a customer’s electronic signature in order to “open new contracts.” In February 2023 the complaint reached a settlement of $43,093.06.
A third disclosure concerns Mr. Golding’s resignation from his former member firm. According to the disclosure, he voluntarily resigned in connection with allegations that he “electronically submitted non-genuine client signatures on two annuity applications, misdated a company form, and communicated via text outside the Company’s monitoring platform.”
According to the Financial Industry Regulatory Authority, Robert Golding holds 14 years of securities industry experience. He was most recently registered as a broker with Pruco Securities in Alpena, Michigan from 2018 until 2022. His prior registrations include MML Financial Services (Alpena, Michigan; 2017-2018) and MSI Financial Services (Alpena, Michigan; 2007-2017). His credentials include the passage of three securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Securities Industry Essentials Examination, or SIE: and the Uniform Securities Agent State Law Examination, or Series 63. He is currently barred from acting as a broker or otherwise associating with a broker-dealer firm. (Information current as of January 18, 2024.)
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