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Mariana Goldenberg Allegedly Failed to Notify Investors of an Annuity’s Deadline

Mariana Goldenberg (CRD #: 2165876), a broker registered with Commonwealth Financial Network, is the subject of an investor dispute. This disclosure appears on her BrokerCheck record, accessed on January 19, 2023. Keep reading if you have questions about her alleged conduct. 

On October 24, 2023, investors alleged that Mariana Goldenberg failed to notify them to exercise an annuity’s Guaranteed Minimum Income Benefit rider before the deadline. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to notify investors of a GMIB deadline may violate this rule. 

Background Information 

Mariana Goldenberg 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 7 General Securities Representative Examination 

She is a registered broker in 17 states and is a registered investment adviser in Pennsylvania. 

During her 30 years of experience, she has registered with four firms: 

  • Commonwealth Financial Network (CRD #: 8032) 
  • LPL Financial (CRD #: 6413) 
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • Salomon Brothers (CRD #: 740) 

Kurta Law Can Help 

If you have worked with Mariana Goldenberg and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.

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