Tag Archives: Legend Equities Corporation

Legend Equities Corporation Caught Overcharging Customers

April 20, 2017  |   Posted by :   |   Investment and Regulatory News, Mutual Fund Fraud   |   0 Comments

Legend Equities Corporation, a brokerage firm headquartered in Delaware, was censured by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm took advantage of charitable entities and retirement plan customers by overcharging them in mutual fund transactions. Letter of Acceptance, Waiver and Consent, No. 2016050259801 (Apr. 4, 2017). According to the […]

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Legend Equities Named In FINRA Customer Securities Arbitration

Walter Joseph Marino, of Hauppauge, New York, a stockbroker formerly registered with Legend Equities Corporation, has been named in four customer initiated investment related arbitration actions between March 14, 2016, and July 18, 2016, in which the customers have collectively requested $433,101.00 in damages based upon allegations that Marino excessively charged the customers with commissions […]

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