| Read Time: 2 minutes |


Adam Goodman Of Stoever, Glass & Company Inc. And Formerly With Herbert J. Sims & Co., Inc. Has 7 Customer Complaints For Alleged Broker Misconduct

Who is Adam Goodman of Stoever, Glass & Company Inc.?

Adam Goodman (CRD #2263780) who is currently registered with Stoever, Glass & Company Inc. and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Stoever, Glass & Company Inc., Adam Goodman was associated with Herbert J. Sims & Co. Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Adam Goodman Customer Complaints

Adam Goodman has been the subject of 7 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Four of Adam Goodman’s 7 customer complaints were settled in favor of investors. Two of Adam Goodman’s customer complaints were denied and, to date, the customers have not taken any further action. There is currently 1 pending customer complaint filed against Adam Goodman’s current employer Stoever, Glass & Company Inc. for investment losses caused by the alleged misconduct.

Allegations Against Adam Goodman

A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows:

  • Customer alleged unsuitable investment recommendations in connection with a private placement and bond anticipation note investment.
  • Client alleged unauthorized trading in overconcentration involving municipal and corporate bonds.
  • Customer alleged misrepresentations and unauthorized trading in connection with junk bonds.
  • Client alleged high pressure sales tactics unsuitable investment recommendations, fraud and negligence in connection with municipal bond transactions.
  • Customer alleged that investment recommendation of an alleged speculative investment was unsuitable.
  • Client complained about the suitability of a bond anticipation note investment.
  • Customer alleged unauthorized trading and unsuitable corporate bond transactions.

Adam Goodman Red Flags & Your Rights As An Investor

Of course,  Adam Goodman did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Adam Goodman at Stoever, Glass & Company Inc. and Herbert J. Sims & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Adam Goodman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stoever, Glass & Company Inc. and Herbert J. Sims & Co. Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Stoever, Glass & Company Inc. Due To Adam Goodman

If you have questions about Stoever, Glass & Company Inc., Herbert J. Sims & Co. Inc., and/or Adam Goodman and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $160 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars