Securities Exchange Act of 1934 Release No. 101816 – December 5, 2024
On June 18, 2024, the Securities and Exchange Commission (SEC) initiated administrative proceedings against David H. Goldman. This action stems from allegations that Goldman violated certain securities laws.
Goldman, a former investment advisor representative, is accused of engaging in fraudulent activities related to the offer and sale of securities. The SEC alleges that Goldman misled investors by providing false information and making material misrepresentations.
If found guilty, Goldman could face penalties such as fines, suspensions, or even a permanent bar from the securities industry. It’s essential for investors to be cautious and conduct thorough research before entrusting their money to any financial advisor or investment professional.
The SEC’s enforcement actions serve as a reminder of the importance of transparency and honesty in the financial markets. Investors should always verify the credentials and track record of any individual or firm before making investment decisions.
Stay informed and stay vigilant when it comes to your finances. Remember, it’s your hard-earned money at stake, so always take the necessary precautions to protect yourself and your investments.
