Tag Archives: Stuart L. Pearl

David Noyes Stockbroker Accused Of Margin Fraud

September 14, 2020  |   Posted by :   |   Margin Account Fraud, Securities Arbitration Claims, Securities Fraud   |   Comments Off on David Noyes Stockbroker Accused Of Margin Fraud

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 […]

Read More »

David A. Noyes Company Settles Unauthorized Trading Claim

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 […]

Read More »

FINRA Fines Ameriprise Broker For Unsuitable Recommendations

November 01, 2017  |   Posted by :   |   Unsuitable Investment Recommendations   |   0 Comments

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 […]

Read More »