Adam Goodman (CRD #: 2263780), an investment adviser in Florida, has two pending investor complaints, according to his BrokerCheck record, accessed on December 14, 2020. There are four other settled disputes on his record that investors should review. Mr. Goodman is registered with Stoever, Glass & Company. 

Excessive Trading Edit

On September 18, 2020, a client alleged that Adam Goodman executed unauthorized trades and recommended unsuitable investments. The client is seeking $500,000; the dispute is pending.

On February 19, 2020, a client alleged that Adam Goodman recommended an unsuitable bond anticipation note. The client is seeking $14,000; the dispute is pending.

On December 17, 2019, a client alleged that Adam Goodman recommended two unsuitable investments, one in a private placement and another in a bond anticipation note. The client sought $28,000; the dispute settled for $21,680.57.

On April 3, 2018, a client alleged that Adam Goodman used a high-pressure sales tactic and recommended an unsuitable investment. The client sought $25,000; the dispute settled for $10,000.

On August 2, 2017, a client alleged that Adam Goodman executed unauthorized trades and over-concentrated certain securities in a portfolio. The client also alleged that Mr. Goodman recommended an unsuitable investment in corporate debt. The client sought damages of $21,000; the dispute settled for $21,000. 

On December 14, 2016, a client alleged that Adam Goodman misrepresented certain securities and executed unauthorized trades. The client sought damages of $5,000; the dispute settled for $50,000.

Adam Goodman has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 66 Uniform Combined State Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, and the Series 24 General Securities Principal Examination. Mr. Goodman is a registered broker in 28 states, and a registered investment adviser in Florida and Texas.

In his 15 years of experience, Adam Goodman has worked at seven other firms besides Stoever Glass & Company:

  • Stoever Glass Wealth Management (CRD #: 173091)
  • Herbert J. Sims & Co. (CRD #: 3420)
  • Wien Securities Corp. (CRD #: 10467)
  • Paragon Capital Corporation (CRD #: 18555)
  • The G.MS. Group (CRD #: 8000)
  • J.B. Hanauer & Co. (CRD #: 6958)
  • Halpert and Company (CRD #: 7094)
  • First Miami Securities (CRD #: 7793)

If Adam Goodman was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for a free case consultation with a securities attorney.

Leave a Comment