Marlon O. Cole of New York New York a stockbroker formerly registered with Spartan Capital Securities is the subject of a customer initiated investment related arbitration claim which was resolved for $20,000.00 in damages based upon accusations of unsuitable margin use and the breach of a fiduciary duty by Cole concerning his over-the-counter equities transactions […]
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Tag Archives: Marlon O. Cole
Investors Bring FINRA Arbitration Claim Against Spartan Capital For Misrepresentation
December 01, 2020 | Posted by : Guiliano Law Group | Boilerroom Sales, Elder Financial Abuse, Excessive Trading, Securities Arbitration Claims, Unauthorized Trading | Comments Off on Investors Bring FINRA Arbitration Claim Against Spartan Capital For Misrepresentation
Legend Securities Named In Customer Arbitration
June 08, 2017 | Posted by : Guiliano Law Group | Boilerroom Sales, Investment and Regulatory News | 0 Comments
Marlon O. Cole, of New York, New York, a stockbroker formerly registered with Legend Securities, Inc., has been named in a customer initiated investment related arbitration claim, in which a customer was awarded $80,600.00 on June 16, 2016, based upon allegations that Cole failed to execute the customer’s instructions to sell equity positions after ten […]
Read More »Legend Securities Sued for Unauthorized Trading
October 11, 2016 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Investment and Regulatory News, Unauthorized Trading | 0 Comments
Marlon O. Cole, of New York, New York, a stockbroker formerly associated with Legend Securities, Inc., is the subject of a pending customer dispute filed in January against Legend Securities in which the customer has requested damages based upon allegations that Cole of effected unauthorized trades in the customer’s account. FINRA Public Disclosure records reveal that […]
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