Tag Archives: Richard Lyndon Brown

FINRA Bars Arive Stockbroker For Failure To Pay Arbitration Award

December 07, 2020  |   Posted by :   |   Boilerroom Sales, FINRA Securities Arbitration, Investment and Regulatory News, Securities Fraud, Stockbroker Negligence   |   Comments Off on FINRA Bars Arive Stockbroker For Failure To Pay Arbitration Award

Richard Lyndon Brown of Farmingdale New York a stockbroker formerly registered with Arive Capital Markets and Chelsea Financial Services has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Brown neglected to cooperate with a FINRA Arbitration Award where he was ordered to pay a […]

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SEC Charges Arive Stockbroker With Fraud

January 17, 2020  |   Posted by :   |   Investment and Regulatory News, Securities Fraud   |   0 Comments

Richard Lyndon Brown of Farmingdale New York a stockbroker formerly registered with Arive Capital Markets has been charged by Securities and Exchange Commission (SEC) in a Complaint in which the regulator is seeking sanctions against Brown based upon allegations that the stockbroker engaged in a fraudulent bribery scheme violative of federal securities laws. Securities and […]

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Brookstone Securities Named In Customer Securities Arbitration

December 24, 2016  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Richard Lyndon Brown, of Massapequa, New York, a stockbroker formerly associated with Brookstone Securities, Inc., has been subject to a customer initiated investment related arbitration claim from September 22, 2015, in which a customer was awarded $72,135.95 in damages based upon allegations that Brown breached his contractual and fiduciary duties to the customer, abused the […]

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