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Regulators Descend Upon Legend Securities

April 25, 2017 | Posted by : Guiliano Law Group | Boilerroom Sales, Elder Financial Abuse, Failure To Supervise, Investment and Regulatory News | 0 Comments

Michael Salvatore Stanton, a former branch office manager and director of capital markets for Legend Securities, Inc., has been charged in a Complaint by Financial Industry Regulatory Authority (FINRA) Department of Enforcement containing allegations that Stanton failed to supervise a registered representative who defrauded a disabled, blind and elderly investor. Department of Enforcement v. Michael […]

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Regulators Descend Upon Legend Securities

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