Tag Archives: Marlin O. Cole

Regulator Suspends Legend Securities Broker For Churning

November 01, 2017  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

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 […]

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