Tag Archives: Madison Avenue Securities LLC

Investors Bring FINRA Securities Arbitration Against Madison Avenue Securities For Unsuitable Advice

March 08, 2021  |   Posted by :   |   Breach of Fiduciary Duty, FINRA Securities Arbitration, Investment and Regulatory News, Over Concentration   |   Comments Off on Investors Bring FINRA Securities Arbitration Against Madison Avenue Securities For Unsuitable Advice

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 […]

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Investors Bring Arbitration Claims Against Madison Securities Over GPB Ponzi Scheme

October 08, 2020  |   Posted by :   |   Alternative Investments, Failure to Conduct Due Diligence, Securities Arbitration Claims   |   Comments Off on Investors Bring Arbitration Claims Against Madison Securities Over GPB Ponzi Scheme

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 […]

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Madison Avenue Sued For Fraudulent Alternative Investments

May 12, 2020  |   Posted by :   |   Alternative Investments, Failure to Conduct Due Diligence, Securities Arbitration Claims, Securities Fraud   |   Comments Off on Madison Avenue Sued For Fraudulent Alternative Investments

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 […]

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Madison Avenue Securities Sued For Misrepresentation

April 08, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Non-traded REITs, Securities Arbitration Claims   |   Comments Off on Madison Avenue Securities Sued For Misrepresentation

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 […]

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Madison Avenue Securities Sued For Elder Abuse

March 26, 2020  |   Posted by :   |   Elder Financial Abuse, Securities Arbitration Claims   |   Comments Off on Madison Avenue Securities Sued For Elder Abuse

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 […]

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Madison Avenue Securities Sued For Unregistered Securities

March 26, 2020  |   Posted by :   |   Securities Arbitration Claims, Selling Away and Outside Activities   |   Comments Off on Madison Avenue Securities Sued For Unregistered Securities

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.. […]

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Investors Sue Madison Avenue For Misrepresentation

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 […]

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ChangePath Stockbroker Terminated After Receiving Customer Arbitration Claim

Gary Carl Mastrodonato of Oriental North Carolina a stockbroker formerly associated with Madison Avenue Securities LLC and ChangePath LLC has been terminated on March 25, 2019 supported by allegations that the stockbroker was subject of a customer initiated investment related arbitration claim relating to his real estate securities transactions. This is not the first time […]

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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 Stockbroker Barred In Selling Away Investigation

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 […]

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Investors Sue Madison Avenue Securities For Fraud

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 […]

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Investor Sues Madison Avenue For Inappropriate REIT Recommendations

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 […]

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Madison Avenue Broker Terminated For Customer Complaints

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 […]

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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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Madison Avenue Securities Party to Arbitration Alleging Unsuitability

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 […]

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