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Investment Misconduct Blog

David A. Noyes

Scott Lindsay Reed Has Nine Disclosed Customer Disputes

Adam J. Marquardt June 10, 2018

According to the Financial Industry Regulatory Authority, Inc. (FINRA) public records, broker Scott Lindsay Reed has nine disclosed customer disputes.  FINRA registers and regulates brokers and brokerage firms. Scott Reed’s customers filed the claims between May 2017 and April 2018.  All claims are pending.  The requested damage amounts range from $268,000 to $1,681,430.  Claims allege

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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

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