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
