Category Archives: E.J. Sterling

Michael D. Teutonico Discloses Customer Arbitration-E.J. Sterling

May 2016- Lynbrook, New York

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

According to FINRA recordsMichael D.Teutonico discloses a pending customer dispute. In FINRA Case 15-2792, a customer alleges that while Teutonico was registered with Global Arena Capital his account was traded excessively, over concentrated, over margined and unsuitable investments were made. Damages are alleged to be $206,000.

According to FINRA records, Teutonico  is currently registered with Network 1 Financial Securities.  He was previously registered with E.J. Sterling from 5/2014-10/2015. He was registered with Global Arena Capital from 5/2011-5/2014. FINRA expelled Global Arena Capital  in January 2016.

If you have losses in an account handled by Michael D.Teutonico contact us to learn how you may be able to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Marlon Cole Named in Customer Arbitration Dispute-Legend Securities Broker

May 2016

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

According to FINRA records,  Marlon O. Cole has been registered with Spartan Capital Securities since 2/2016. Prior to that he was registered with Avenir Financial Group, Blackbook Capital, E.J. Sterling, LLC, Legend Securities and Liberty Partners Financial. 

FINRA records disclose that there are currently two customer disputes pending against  Marlon O. Cole, including:

  • FINRA Case 15-00994- a customer alleges that Mr. Cole wasted over $80,000 of his savings without his permission and did not abide by agreement to pull funds off the market and send back to his credit union if stock dropped 10%. Damages alleged are $250,000.

If you have losses in an account handled by Marlon Cole, contact us to learn how you may be able to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870