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Steven Goodman Resigns from Merrill Lynch, Pierce, Fenner & Smith

Steven Goodman (CRD #: 7047090), a broker registered with J.P. Morgan Securities, resigned from his previous firm following allegations of misconduct, according to his BrokerCheck record, accessed on June 7, 2023. If you want to know more about his alleged conduct as a broker, read on.

Resignation from Merrill Lynch, Pierce, Fenner & Smith

On April 24, 2023, Steven Goodman resigned from Merrill Lynch, Pierce, Fenner & Smith following allegations of misconduct, including violation of firm policy concerning the handling of referrals.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Steven Goodman has passed the following exams:

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

Steven Goodman is a registered broker in Florida and Texas. He is also a registered investment adviser in Florida, New York, and Texas.

He previously worked for Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691) and Morgan Stanley (CRD#:149777).

Kurta Law Can Help

If you worked with Steven Goodman 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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