We collected information about Legend Securities Complaints for you. There are links where you can find everything you need to know about Legend Securities Complaints.
https://www.glassdoor.com/Reviews/Legend-Securities-Reviews-E771010.htm
Glassdoor has 9 Legend Securities reviews submitted anonymously by Legend Securities employees. Read employee reviews and ratings on Glassdoor to decide if Legend Securities is right for you. Glassdoor4/5(9)
https://www.bbb.org/us/ny/new-york/profile/stock-brokers/legend-securities-inc-0121-118434
When considering complaint information, please take into account the company's size and volume of transactions, and understand that the nature of complaints and a firm's responses to them are ...
https://www.sec.gov/litigation/complaints/2013/comp-pr2013-122.pdf
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK . SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. ... that they claimed did not bear a restrictive legend and were free-trading shares. ... Legend Securities ("Legend") is a …
https://www.cnbc.com/2016/05/10/brokers-firms-land-on-finras-bad-guys-list.html
May 11, 2016 · According to FINRA documents, Legend Securities' antimoney laundering program failed to flag deposits — made by at least five customers — of more than 2 billion shares of penny stocks that ...
https://www.securitieslawyer.com/finra-complaint-legend-securities/
FINRA Complaint filed against Legend Securities and/or brokers Michael Salvatore Stanton and Hank Mark Werner alleging churning and lack of supervision. ... FINRA Complaint Filed Against New York’s Legend Securities and Brokers Michael Salvatore Stanton and Hank Mark Werner.
https://www.erezlaw.com/former-legend-securities-inc-client-wins-finra-arbitration-for-181970/
In February 2018, a former client of Legend Securities, Inc. won an award in a FINRA arbitration for compensatory damages for $161,970 plus 4% interest per year and $20,000 in punitive damages, for a total award of $181,970. The investors were clients of financial advisors Jonathan Miller (CRD# 5772258) and John Smith (CRD# 5764683). The […]
https://www.whitesecuritieslaw.com/2017/08/16/legend-securities/
Aug 16, 2017 · Legend Securities to Pay Restitution to Customers Legend Securities Censured and Fined According to the Financial Industry Regulatory Authority , on June 22, 2017, an OHO Decision became final in which Legend Securities, Inc. (CRD #44952, New York, New York) was fined a total of $475,000 and ordered to pay $884,436.24, plus interest, in ...
https://www.stopbrokerfraud.com/news/brian-k-decker/
May 20, 2015 · The securities and investment fraud law firm, Fitapelli Kurta is interested in speaking to investors who have lost money investing with Legend Securities or Brian K. Decker. Legend Securities broker, Brian K. Decker, has four customer initiated complaints pending with the Financial Industry Regulatory Authority (FINRA).
https://www.stopbrokerfraud.com/news/brian-decker/
Dec 07, 2015 · The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based Legend Securities broker/adviser Brian Decker (CRD# 4565524).
https://www.finra.org/sites/default/files/publication_file/April_2016_Disciplinary_Actions.pdf
Legend Securities, Inc. (CRD #44952, New York, New York) submitted an AWC in which the firm was censured, fined $125,000 and required to retain an independent consultant to conduct a comprehensive review of the adequacy of the firm’s policies, systems and procedures (written and otherwise), and training. Without admitting or denying the
https://www.securitieslawyer.com/richard-coleman-melville-ny/
Legend Securities Client Files FINRA Arbitration Suggesting Richard Coleman Excessively Traded. Evidently, on January 11, 2019, a FINRA Arbitration was filed by a client of Legend Securities Inc. Allegedly, Coleman was negligent in trading this client’s account. ... Complaints From Other Clients Suggest Coleman Sold Unsuitable Investments.
https://www.finra.org/sites/default/files/fda_documents/2012030422902_FDA_SL677982.pdf
Additionally, Legend andfailed reasonableto aestablish, maintain enforce supervisory system, including procedures,written regarding the review ofelectronic correspondence. Most ofthe unreported and late-reported complaints andwere sent to Legend via email, contained allegations ofsales practice violations, misappropriation,such as churning, excessive commissions, and
https://www.lincolninvestment.com/
Advisory services offered through Capital Analysts or Lincoln Investment, Registered Investment Advisers. Securities offered through Lincoln Investment Broker/Dealer, Member FINRA/SIPC. Tax, legal, or Social Security claiming advice is not offered through, nor supervised by Lincoln Investment or Capital Analysts. ©2019 Lincoln Investment
https://www.johnschapman.com/investment-fraud/former-legend-securities-broker-barred-by-finra/
May 23, 2018 · On April 18, 2018, former Legend Securities, Inc. registered representative Brian Decker submitted a Letter of AWC to resolve violations of securities laws for failing to cooperate with requests made by the FINRA Department of Enforcement during an investigation. Learn more.
https://www.sec.gov/litigation/complaints/2018/comp24141.pdf
July 2011 until June 2014, a registered representative in Legend Securities, Inc.’s office in New York, New York. In May 2018, Karow, without admitting or denying factual allegations, settled the Commission’s claims against him for his role in the events alleged in this Complaint. 20.
https://www.sosnc.gov/sec/
The offer, sale, and purchase of securities are subject to a very complex system of regulation carried out by federal, state, and self-regulatory agencies. We administer and enforce North Carolina’s securities laws, which are located in Chapters 78A, 78C and 78D of the North Carolina General Statutes.
https://flofr.com/sitePages/DivisionOfSecurities.htm
The division regulates the sale of securities in, to or from Florida to determine compliance with state law. The division is organized into a Bureau of Registrations that registers firms and their employees, and a Bureau of Enforcement that conducts examinations of registered entities throughout the state and processes complaints.
https://www.sonnlaw.com/brokerage-firm-reviews/
As securities fraud attorneys we represent investors who have suffered significant losses because of malpractice, negligence, or even fraud on the part of their brokerage firm or investment advisor. We invite you to explore the articles below to get a sense of the regulatory history of many of the brokerage firms that are regulated by FINRA.
https://www.israelsneuman.com/warning-impending-investigation-salvatore-gioe-phx-financial-and-legend-securities/
Salvatore Gioe, PHX Financial, and Legend Securities Have you lost money with financial advisor Salvatore Gioe? We are investigating allegations made by the Arkansas Securities Department against Salvatore Gioe, from New York, New York. The Arkansas Securities Department recently suspended Gioe for one year for a failure to abide by a previous regulatory order. Under …
https://www.investor.gov/additional-resources/general-resources/glossary/restricted-securities
Restricted securities are securities acquired in an unregistered, private sale from the issuing company or from an affiliate of the issuer. They typically bear a “restrictive” legend clearly stating that you may not resell them in the public marketplace unless the sale is exempt from the SEC’s registration requirements.
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