Stuart L. Pearl (also known as Stu Pearl) of Indianapolis Indiana a stockbroker formerly registered with David A. Noyes Company has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he made unsuitable recommendations to David A. Noyes customers…
Stuart L. Pearl of Indianapolis Indiana a stockbroker formerly registered with David A. Noyes Company is the subject of a customer initiated investment related written complaint on May 18, 2020 in which the customer requested $2,088,124.00 in damages based upon allegations of a margin trading account being created by the stockbroker without the customer’s knowledge…
Stuart L. Pearl (also known as Stu Pearl) of Indianapolis Indiana a stockbroker formerly employed by David A. Noyes Company has been identified in a customer initiated investment related complaint which has been resolved on July 1, 2019 for $42,500.00 in damages founded on accusations that (1) a hedge fund position had been executed in…
Stuart L. Pearl, of Deerfield, Illinois, a stockbroker formerly employed with Ameriprise Financial Services, Inc., is the subject of a $7,500.00 fine, and has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he exercised discretion in customer accounts and made unsuitable margin-based investment recommendations…