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Jon Goldstein Allegedly Misrepresented Mutual Fund Risks

Jon Goldstein (CRD #: 2462505), a broker registered with Kestra Investment Services, allegedly made misrepresentations, according to his BrokerCheck record, accessed on January 5, 2023. Investors may have also engaged his services through Goldstein Advisors. Keep reading if you want to know more about his alleged conduct as a broker.

Investor Dispute

On October 16, 2022, an investor alleged that Jon Goldstein misrepresented the potential risks associated with certain mutual funds. This dispute is currently pending.

FINRA Rule 2020

The misrepresentation of information related to investments violates FINRA Rule 2020, which bans the use of manipulative, deceptive, and otherwise fraudulent methods to influence investors’ decisions.

Background Information

Jon Goldstein has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination
  • Series 51 – Municipal Fund Securities Principal Examination
  • Series 4 – Registered Options Principal Examination
  • Series 24 – General Securities Principal Examination

Jon Goldstein is a registered broker in 24 states and a registered investment adviser in Texas and Wisconsin.

He has also worked for the following firms:

  • Arbor Point Advisors (CRD#:165127)
  • Securities America (CRD#:10205)
  • Ameriprise Financial Services (CRD#:6363)
  • IDS Life Insurance Company (CRD#:6321)

Kurta Law Can Help

If you worked with Jon Goldstein 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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