Stuart Pearl, Associate of David A. Noyes and Former Ameriprise Broker, Sanctioned by FINRA
Adam J. Marquardt
February 26, 2018
According to public records released by the Financial Industry Regulatory Authority (FINRA), Stuart Pearl was sanctioned in October 2017 by FINRA for allegedly placing discretionary trades to liquidate a senior investor’s investments without obtaining prior written authorization to place those trades. A Letter of Acceptance, Waiver, and Consent (AWC) states Pearl agreed to a fine
