Tag Archives: David Lloyd Barber

Madison Avenue Securities Accused Of Excessive Trading

David Lloyd Barber of San Diego California a stockbroker formerly registered with Madison Avenue Securities LLC is referenced in a customer initiated investment related written complaint which was settled on August 1, 2018 for $22,500.00 in damages founded on allegations that (1) trades were executed in the customer’s account in an excessive manner and (2) […]

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Madison Avenue Broker Barred For Hindering Investigation

March 11, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

David Lloyd Barber of San Diego California is a stockbroker formerly registered with Madison Avenue Securities LLC who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to provide documentation and information to FINRA in an investigation into allegations of […]

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