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Alexander Goodstein Faces Pending Criminal Charges

Alexander Goodstein (CRD #: 6081205), a broker registered with Wells Fargo Clearing Services, is the subject of pending grand larceny charges, according to his BrokerCheck record, accessed on August 26, 2022. Keep reading if you have questions about his conduct as a broker.

Pending Criminal Charges

According to a criminal charge disclosure filed on June 3, 2022, Alexander Goodstein is the subject of pending grand larceny charges.

Grad larceny is a felony and may constitute a statutory disqualification — a violation that disqualifies individuals from registering as a broker. 

FINRA Rule 2010

FINRA Rule 2010 requires members to uphold high standards of commercial honor and just and equitable principles of trade.

Background Information

Alexander Goodstein has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Alexander Goodstein is a registered broker in 19 states and the District of Columbia. He is also a registered investment adviser in Texas and Virginia.

He has also worked for the following firms:

  • Northwestern Mutual Investment Services (CRD#:2881)
  • ALPS Distributors (CRD#:16853)
  • Vanguard Marketing Corporation (CRD#:7452)

Kurta Law Can Help

If you worked with Alexander Goodstein and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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