Henry Goodman: Investor Alleges Six-Figure Losses

Henry Goodman (CRD #: 818465), a broker registered with Herbert J. Sims & Co., has a new investor dispute on his BrokerCheck record, as of July 27, 2021. This is his second investor dispute regarding unauthorized trading.

On June 4, 2021, an investor alleged that Henry Goodman recommended unsuitable investments and executed unauthorized trades. The investor is seeking $543,000; the dispute is pending.

On September 18, 2016, an investor alleged that Goodman engaged in unauthorized trading. The investor sought $43,287.59; the dispute settled for $34,496.39.

Henry Goodman Background Information

Goodman has passed the following exams:

• Series 63 Uniform Securities Agent State Law Examination
• Securities Industry Essentials Examination
• PC – AMEX Put and Call Exam
• Series 7 General Securities Representative Examination
• Series 24 General Securities Principal Examination
• Series 40 Registered Principal Examination

He is a registered broker in 20 states.

Goodman has registered with the following firms:

• Herbert J Sims & Co. (CRD #: 3420)
• The GMS Group (CRD #: 8000)
• B. Hanauer & Co. (CRD #: 6958)
• Tucker Anthony Incorporated (CRD #: 837)
• Halpert, Oberst and Company (CRD #: 7094)
• Ehrlich-Bober & Co. (CRD #: 6998)
• Painwebber Incorporated (CRD #: 8174)
• Paine, Webber, Jackson & Curtis (CRD #: 640)
• Swanton Securities (CRD #: 5823)
• UMIC (CRD #: 5974)

Kurta Law Can Help

If you worked with Henry Goodman and you have concerns about the suitability of your investments, contact Kurta Law today. Call 212-658-1502 or email jkurta@kurtalawfirm.com.