Darcie Goins is Facing Allegations of Misrepresentation and Unsuitable Recommendations

Darcie Goins (CRD #: 6389309), a previously registered broker with Northwestern Mutual, is the subject of a six-figure investor dispute. This is according to her BrokerCheck record, accessed on February 2, 2024. Keep reading if you have questions regarding her alleged conduct. 

On October 18, 2023, an investor alleged that Darcie Goins recommended high-commission, complex, risky, illiquid alternative investments. She alleges these investments were unsuitable and misrepresented. The client further alleged that the firm failed to conduct adequate due diligence. 

The investor is seeking $170,000. 

Misrepresentation 

FINRA Rule 2020 prohibits the use of manipulative, deceptive, or otherwise fraudulent tactics to influence the purchase and sale of securities. Misrepresenting an investment’s risks, requirements, or other features violates this rule.

Unsuitable Investments 

FINRA Rule 2111 defines suitable investments as securities that fit an investor’s profile. Investor profiles have information on the investor’s age, risk tolerance, tax status, investing experience, and financial goals. Investments that do not take these factors into account may be unsuitable. This rule also prohibits overconcentration, as placing too much of a portfolio in a single sector exposes the investor to unnecessary risk. 

Background Information

Darcie Goins passed the following exams: 

• Series 65 Uniform Investment Adviser Law Examination 
• Series 66 Uniform Combined State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 

She has registered with the following firms: 

• Northwestern Mutual Investment Services (CRD #: 2881) 
• Berthel, Fisher & Company Financial Services (CRD #: 13609) 

Kurta Law Can Help 

If you have worked with Darcie Goins and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.