May 3, 2024
Craig Gould (CRD #2367293) who is currently registered as a broker with Cabot Lodge Securities LLC and located in Schaumburg Illinois, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cabot Lodge Securities LLC, Craig Gould was associated with World Equity Group, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Craig Gould has been the subject of 2 FINRA enforcement actions which he settled without admitting or denying the findings. In one case, he consented to the sanctions and to the entry of findings that he failed to establish and maintain a supervisory system reasonably designed to achieve compliance with applicable FINRA rules, and failed to reasonably enforces member firms written supervisory procedures that require the review of organization and offering expenses and underwriter’s compensation. As a result, he was suspended in 1 FINRA proceeding for 90 days, and fined $20,000 and the other FINRA enforcement action. He was suspended for 10 days, and fined $5,000.
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