Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Tuesday, February 12, 2013

SEC Admin Proceeding: Gregory Goldstein

/Brenda Hamilton Hamilton & Associates, FL. Gregory Evan Goldstein, an associated person, officer, and control person of Marquis Financial Services, Inc., a FINRA member firm, appeals from a FINRA disciplinary action. On January 4, 2013, in an expedited proceeding, FINRA found that Goldstein failed to respond to certain requests by FINRA at an on-the-record interview and a request to produce documents and information made pursuant to FINRA Rule 8210.1 FINRA ordered Goldstein to reply to all outstanding Rule 8210 information requests within twenty-one days of the date of the decision.

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