Warning against Goldberg & Associate

Investor warning

Pursuant to Article 92 para. 11 first sentence of the 2007 Wertpapieraufsichtsgesetz (WAG 2007; Securities Supervision Act), the Austrian Financial Market Authority (FMA) may disclose to the general public by publication on the Internet, in the official gazette “Amtsblatt zur Wiener Zeitung”, or in any other newspaper with nationwide circulation, that a particular natural or legal person is not entitled to carry out certain investment services (Article 3 para. 2 nos. 1 to 4 WAG 2007), provided that said person has given cause for such action and informing the general public is deemed necessary and reasonable with regard to possible disadvantages of the person concerned.

By publication in the official gazette “Amtsblatt zur Wiener Zeitung” of 27 April 2010, the FMA informs that

Goldberg & Associate
14 Wall Street
New York City
New York 10005
USA
Tel: +1 646 233 34 93
Fax: +1 646 417 71 30
E-Mail: info@goldberg-newyork.us
www.goldberg-newyork.com

resp.

33 Throgmorton Street
London EC2N 2BR
United Kingdom
E-Mail: backoffice@goldberg-newyork.us
www.goldberg-newyork.com

is not entitled to provide investment services in Austria requiring a licence. The provider is therefore neither entitled to provide investment advice in relation to financial instruments pursuant to Article 3 para. 2 no. 1 WAG 2007 nor reception and transmission of orders in relation to one or more financial instruments pursuant to Article 3 para. 2 no. 3 WAG 2007.