Tag Archives: Walter Joseph Marino

Legend Equities Broker Suspended For Suitability

October 16, 2017  |   Posted by :   |   Unsuitable Investment Recommendations, Variable Annuites   |   0 Comments

Walter Joseph Marino, of Dix Hills, New York, a stockbroker formerly registered with Legend Equities, has been suspended for one year from associating with a Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Order Accepting Offer of Settlement containing findings that Marino made unsuitable variable annuity recommendations and misrepresentations to customers. […]

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Legend Equities Named In FINRA Customer Securities Arbitration

Walter Joseph Marino, of Hauppauge, New York, a stockbroker formerly registered with Legend Equities Corporation, has been named in four customer initiated investment related arbitration actions between March 14, 2016, and July 18, 2016, in which the customers have collectively requested $433,101.00 in damages based upon allegations that Marino excessively charged the customers with commissions […]

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