Robert Golding Resigns from Pruco Securities Following Forgery Allegations
Robert Golding (CRD #: 5324763), a broker formerly registered with Pruco Securities, resigned from the firm, according to his BrokerCheck record, accessed on October 29, 2022. If you have questions about his conduct as a broker, keep reading.
Resignation from Pruco Securities
On September 2, 2022, Robert Golding resigned from Pruco Securities following allegations that he electronically submitted forged client signatures on two annuity applications, misdated a company form, and communicated via text outside the firm’s monitoring platform. This alleged misconduct may violate more than one FINRA rule.
FINRA Rule 2210
FINRA Rule 2210 requires brokers to communicate with investors using methods that the firm can monitor for compliance with FINRA rules and regulations. FINRA Rule 3110 requires firms to supervise their brokers and to provide written supervisory procedures.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Robert Golding has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
He previously worked for the following firms:
- Pruco Securities (CRD#:5685)
- MML Investors Services (CRD#:10409)
- MSI Financial Services (CRD#:14251)
Kurta Law Can Help
If you worked with Robert Golding and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.