Douglas Alan Goldberg – SEC Administrative Action

In the Matter of Douglas Alan Goldberg

Recently, the United States Securities and Exchange Commission (Commission) announced that on September 27, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Douglas Alan Goldberg, a former employee of Rubin/Chambers Dunhill Insurance Services, Inc., dba CDR Financial Products, Inc. (CDR), a registered investment adviser with the Commission from 2001 until February 14, 2011, when the Commission cancelled CDR’s registration.

Goldberg consented to a Commission Order barring him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. This sanction was based upon Goldberg’s March 25, 2010 guilty plea to a criminal information, filed in United States v. Douglas Alan Goldberg, Criminal No. 10-cr-209, that charged him with two counts of conspiracy and one count of wire fraud for engaging in misconduct in connection with the competitive bidding process for municipal reinvestment products.

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