Marlon O. Cole, of New York, New York, a stockbroker formerly associated with Legend Securities, Inc., is the subject of a pending customer dispute filed in January against Legend Securities in which the customer has requested damages based upon allegations that Cole of effected unauthorized trades in the customer’s account.
FINRA Public Disclosure records reveal that Cole has been subject to four additional customer disputes. On May 6, 2015, a customer was awarded $80,600.00 in damages against Cole based upon allegations of Cole engaging in unauthorized transactions, causing the customer’s savings to be depleted. In December 2014, Cole settled a customer dispute based upon the allegation that Cole engaged in unauthorized purchases of securities in the customer’s account.
On October 27, 2014, Cole settled a customer dispute for $35,192.00 after the customer alleged that Cole engaged in the unauthorized purchases of securities. Cole also settled a customer dispute in 2009, in based upon allegations that Cole also effected unauthorized trades in the customer’s account. Until October 2016, Cole was asociated with Spartan Capital. However, since that time, he has not been registered with any member in any capacity.
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