Mark Christopher Quale, a stockbroker formerly registered with First Financial Equity Corporation, was terminated by his firm on March 31, 2016, based upon allegations that Quale furnished documents to First Financial Equity Corporation containing customer signatures which were not genuine.
FINRA Public Disclosure reveals that Quale has been named in four customer arbitrations concerning allegations of his misconduct. Particularly, on April 23, 2003, a customer filed an investment related arbitration claim involving Quale’s conduct, in which the customer requested $19,420.69 in damages based upon allegations that Quale made misrepresentations to the customer concerning fees and charges for mutual fund B shares transactions.
Subsequently, on December 30, 2003, a customer initiated investment related arbitration action concerning Quale’s conduct was settled for $550,000.00 in damages based upon allegations that Quale effected unsuitable investments in the customer’s account. Additionally, on April 17, 2006, a customer filed an investment related arbitration claim involving Quale’s activities, based on allegations that Quale placed trades in the customer’s account without authorization.
Guiliano Law Group
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