21-02234(3).pdf
order to vacate
2019064776202 Gary Goldberg & Co., LLC (formerly known as Bruderman Brothers LLC) CRD 47957 AWC vr (2023-1683937203664).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064776202
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Gary Goldberg & Co., LLC, formerly known as Bruderman Brothers LLC (Respondent)
Former Member Firm
CRD No. 47957
Pursuant to FINRA Rule 9216, Respondent Gary Goldberg & Co., LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
22-00678(3).pdf
motion to vacate