Category Archives: Breach of Fiduciary Duty
FINRA Arbitration Panel In Florida Awards More Than $6 Million To Claimants
On May 4th, 2023, a Financial Industry Regulatory Authority (FINRA) arbitration panel rendered a decision awarding more than $6 million to a collection of investors (Case Number: 21-03115). The respondent in the claim—the Oppenheimer & Co., Inc.—faced allegations of breach of fiduciary duty. In this article, our Miami breach of fiduciary duty attorney discusses… Read More »
South Florida Financial Advisor Faces Investor Complaint for Breach of Fiduciary Duty, Negligence
Peter Lewis Goffin (CRD#: 1617710) is an actively registered broker and investment advisor. Since October of 2003, this financial advisor has been an associate of Newbridge Securities — based out of a branch office in Boca Raton, FL. Records from the Financial Industry Regulatory Authority (FINRA) indicate that Mr. Goffin holds securities licenses in… Read More »
