Madison Avenue Securities Archives | Marquardt Law Office

Madison Avenue Securities

Allegations of Unsuitability and Misrepresentation for Former Broker Michael Bingham Ballard

Adam J. Marquardt July 25, 2018

According to FINRA public records, former broker Michael Bingham Ballard (Mike Ballard) has seven disclosed customer disputes. FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Ballard between May 2014 and January 2018. Four claims have settled for amounts ranging from $25,000 to $531,120. One claim

Noel Ray Vincent Has Fourteen Disclosed Customer Disputes

Adam J. Marquardt June 11, 2018

According to the Financial Industry Regulatory Authority, Inc. (FINRA) public records, broker Noel Ray Vincent has fourteen disclosed customer disputes. FINRA registers and regulates brokers and brokerage firms. While five claims filed between 2008 and 2010 were denied, four claims filed between April 2013 and April 2017 settled for collective recoveries to his customers of

David L. Barber, Expelled Madison Avenue Securities LLC Broker, Accused of Unauthorized Trades

Adam J. Marquardt March 12, 2018

On March 5, 2018, the Financial Industry Regulatory Authority Inc. (FINRA) barred David Lloyd Barber, a former Madison Avenue Securities LLC stock broker, from associating with firms registered with FINRA. FINRA is the self-regulator of stock brokers and brokerage firms. FINRA reported David Barber’s bar in its Letter of Acceptance, Waiver and Consent (“AWC”) that

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