A FINRA OHO panel barred former NYLife broker Sharon Hsun Goodale of San Dimas, California for failing to respond to five requests for information regarding an investigation into Goodale's termination by NYLife Securities LLC. The firm permitted Goodale to resign after she admitted to violating company policy by signing multiple pre-filled insurance applications without having witnessed the respective customers sign the applications in her presence.
According to Goodale's BrokerCheck report, the NYLife separation was her second "employment separation after allegations" disclosure. In 2011, Altadena-based Chase Investment Services Corp discharged Goodale after she allegedly disposed of a client file and the contents of branch compliance folders because she was no longer the financial advisor assigned to the account.
The BrokerCheck report lists two additional customer complaints alleging misconduct in variable annuities committed while Goodale was associated with Ameriprise Financial Services, Inc. in Glendale, CA. Those two complaints were denied after "the firm found the mutual funds met the client's documented goals, risk tolerance and time frame."
If you have invested with Sharon Hsun Goodale or with any broker, financial adviser or firm whose misconduct by signing forms in violation of firm/industry policies, destruction or disposal of key investment documents or inappropriate variable annuity investment activity not in line with investment objectives has proven harmful to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for investigation and consultation.