Robert Leo Luley Jr. of New York, a stockbroker registered with Madison Avenue Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Luley failed to respond to the regulator’s requests for information. FINRA Case No. 2018060896201 (October 24, 2023). According to FINRA Public Disclosure, Luley was…
Lamont Adrian Chandler, of Prairie Village, Kansas, a stockbroker registered with Madison Avenue Securities LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $12,500.00 in damages based upon allegations that Chandler made the unsuitable investment recommendations of direct investments when Chandler was…
Mark Wilkinson Richards (also known as Mark Dickey), of Albuquerque, New Mexico, a stockbroker registered with Madison Avenue Securities LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $220,000.00 in damages based upon allegations that Richards made omissions of material fact in…
Robert Leo Luley (also known as Rob Leo Luley Junior) of Clover, South Carolina, a stockbroker formerly registered with Madison Avenue Securities LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $250,000.00 in damages based upon allegations that Luley made unsuitable recommendations in connection with the sale…
Christopher William Porter of Yalesville, Connecticut, a stockbroker currently registered with Madison Avenue Securities LLC, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer requested approximately $100,000.00 in damages because Porter allegedly provided unsuitable recommendations to the customer concerning alternative investments including GPB Automotive when Porter was associated…
Vincent Anthony Virga of Bayonne, New Jersey, a stockbroker formerly registered with Madison Avenue Securities, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $150,000.00 in damages founded on allegations that the customer received unsuitable investment recommendations from Virga concerning alternative investments while Virga was associated with Madison…
David Richard Geake of Chicago, Illinois, a stockbroker registered with American Trust Investment Services Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $965,793.00 in damages based upon allegations of breach of contract, negligence, fraud, violation of Illinois securities laws, violation of FINRA Rules 2311,…
Noel Ray Vincent of Houston, Texas, a stockbroker formerly registered with Madison Avenue Securities LLC, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer requested between $100,000.00 and $500,000.00 in damages based upon allegations of unsuitable recommendations by Vincent when he was associated with Madison Avenue Securities. Financial…
Jeffrey Raymond Dixson of Vancouver, Washington, a stockbroker formerly registered with Madison Avenue Securities LLC, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer sought compensatory damages supported by allegations of unsuitable alternative investment recommendations by Dixson, which included sales of limited partnership interests or direct participation program…
Andrew Montgomery Costa, of Fort Lauderdale, Florida, a stockbroker formerly registered with GF Investment Services LLC, is referenced in a customer initiated investment related FINRA arbitration claim in which the customer requested compensatory damages founded on allegations of unsuitable recommendations by Costa concerning alternative investments, including direct participation programs (DPPs), limited partnerships (LPs), and real…
Noel Ray Vincent of Houston Texas a stockbroker formerly registered with Madison Avenue Securities LLC is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested between $100,000.00 and $500,000.00 in damages based on accusations of breach of fiduciary duty relating to direct participation program and limited partnership transactions…
Vincent Anthony Virga (also known as Vincenzo Anthony Virga) of Bayonne New Jersey a stockbroker formerly registered with Madison Avenue Securities LLC is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $495,000.00 in damages based on allegations that Virga provided unsuitable advice to them regarding alternative investments including…
Jeffrey Raymond Dixson of Vancouver Washington a stockbroker formerly registered with Madison Avenue Securities LLC is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested compensatory damages founded on allegations including elder abuse in regard to alternative investments that had been sold to the customer during the period that…
James Andrew Geake (also known as Jim Geake) of Skokie Illinois a stockbroker currently registered with Madison Avenue Securities LLC is the subject of a customer initiated investment related written complaint on November 5, 2020 in which the customer requested compensatory damages founded on accusations that unsuitable investment recommendations had been made by Geake causing…
Noel Ray Vincent of Houston Texas a stockbroker formerly registered with Madison Avenue Securities LLC is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $300,000.00 in damages supported by accusations of unsuitable recommendations being made to the customer concerning GPB and other direct investments including DPPs or…
Vincent Anthony Virga (also known as Vincenzo A. Virga Jr.) of Bayonne New Jersey a stockbroker and investment adviser representative of Madison Avenue Securities LLC has been fined $5,000.00 and suspended for one month from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Virga made unsuitable investment…
Jeffrey Raymond Dixson of Vancouver Washington a stockbroker formerly registered with Madison Avenue Securities LLC is referenced in a customer initiated investment related arbitration claim where the customer sought $225,000.00 in damages supported by allegations that the customer had been provided with unsuitable recommendations of alternative investments including GPB which led the customer to experience…
David Richard Geake of Northbrook Illinois a stockbroker formerly registered with Madison Avenue Securities LLC is the subject of a customer initiated investment related arbitration claim in which the customer requested $100,000.00 in damages based upon allegations that (1) misrepresentations and omissions had been made by Geake regarding alternative investments (2) due diligence was not…
James Andrew Geake (also known as Jim Geake) of Skokie Illinois a stockbroker employed by Madison Avenue Securities LLC has been identified in a customer initiated investment related arbitration claim which was resolved for $17,500.00 in damages founded on accusations that (1) misrepresentations were made to the Madison Avenue Securities customer concerning real estate securities…
Jeffrey Raymond Dixson of Vancouver Washington a stockbroker formerly registered with Madison Avenue Securities is the subject of a customer initiated investment related arbitration claim in which the customer requested $100,000.00 in damages based upon allegations that (1) due diligence was not adequately performed on alternative investments including GPB that had been sold to the…
Andrew Montgomery Costa of Fort Lauderdale Florida a stockbroker currently registered with Madison Avenue Securities LLC has been identified in a customer initiated investment related arbitration claim in which the customer requested $90,000.00 in damages based upon allegations of the customer sustaining losses from Madison Avenue Securities’ failure to supervise the sale of Woodbridge Notes…..
Noel Ray Vincent of Southfield Michigan a stockbroker registered with Madison Avenue Securities LLC is the subject of a customer initiated investment related arbitration claim which was settled for $125,000.00 in damages based upon allegations of bad investment advice and misrepresentations being made to the customer in reference to mutual funds and equipment leasing securities…
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)…
Bryan Joseph Clark of Atascadero California a stockbroker employed by Madison Avenue Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Clark failed to cooperate with FINRA personnel during an investigation into accusations of (1) Clark engaging in outside business activities that…
Noel Ray Vincent of Southfield Michigan a stockbroker formerly registered with Madison Avenue Securities LLC is the subject of a customer initiated investment related arbitration claim where the customer sought between $100,000.00 and $500,000.00 in damages based upon allegations that (1) the customer’s assets were handled in a negligent manner (2) fiduciary duties were breached…
James Andrew Geake (also known as Jim Geake) of Skokie Illinois and Schaumburg Illinois a stockbroker currently employed by Madison Avenue Securities LLC is referenced in a customer initiated investment related arbitration claim which was settled for $12,500.00 in damages founded on allegations that the customer suffered unwarranted losses on alternative investments including real estate…
Michael Bingham Ballard of Birmingham Alabama is a stockbroker formerly employed by Madison Avenue Securities LLC who has been terminated on February 13, 2017 supported by allegations that he neglected to disclose to the firm that he was subject of a customer complaint. It was not Mr. Ballard’s first rodeo. Financial Industry Regulatory Authority (FINRA) Public…
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…
David Richard Geake of Northbrook, Illinois, a stockbroker associated with Madison Avenue Securities, LLC, is the subject of a customer initiated investment related written complaint on August 9, 2017, in which the customer requested $200,000.00 in damages based upon allegations that Geake effected fixed indexed annuities, equipment leasing products, business development companies and real estate…
Noel Ray Vincent, of Houston, Texas, a stockbroker formerly currently registered with Madison Avenue Securities, is the subject of a customer initiated investment related arbitration claim on August 24, 2017, in which the customer alleged that Vincent made misrepresentations to the customer and placed unsuitable real estate transactions in the customer’s account. Financial Industry Regulatory…
James Andrew Geake, of Skokie, Illinois, a stockbroker currently registered with Madison Avenue Securities, LLC, has been named in a customer initiated investment related arbitration claim, which settled on March 1, 2017, for $60,000.00 in damages based upon allegations that Geake negligently managed the customer’s investments, breached his contractual duties, and made unsuitable investment recommendations…