Michael N. Guilfoyle, of New York, New York, a stockbroker registered with Legend Securities, Inc., has been fined $10,000.00 and suspended for ten months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unsuitable transactions in the customer’s account. Letter of Acceptance, Waiver…
Steven John Meyer, of Staten Island, New York, a stockbroker formerly registered with Legend Securities, has been barred from associating with any FINRA member in all capacities based upon consenting to findings that he excessively traded and churned the firm’s customer accounts, and placed trades without authorization. Letter of Acceptance, Waiver and Consent, No. 2017052709201…
Marlin O. Cole, of New York, New York, a stockbroker registered with Legend Securities, Inc., has been fined $5,000.00 and suspended for sixteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he effected trades on an excessive and unsuitable basis in customer accounts. Letter…
Jason Vincent Mediate, of Staten Island, New York, a stockbroker formerly registered with Alexander Capital, L.P., has been named in a customer initiated investment related arbitration claim, which settled on November 17, 2015 for $112,500.00 in damages based upon allegations that Mediate effected transactions in the customer’s investment account without proper authorization. FINRA Public Disclosure…