Tag Archives: James Goetz

New NFLPA Registered Financial Advisor Is The Subject of a FINRA Disciplinary Proceeding

On April 1, 2016, the Financial Industry Regulatory Authority (“FINRA”) Department of Enforcement filed a Complaint against James Goetz, a NFLPA Registered Financial Advisor.  The Complaint alleged that while employed by Merrill Lynch, Goetz invested in at least five private companies without making required disclosures or receiving authorization from Merrill Lynch.  FINRA also alleges… Read More »