April 26, 2013-Boca Raton, FL
A FINRA arbitration panel in Boca Raton, FL, found Noble Financial Capital Markets liable for claims of suitability, failure to supervise, negligence, breach of fiduciary duty, misrepresentations, omissions of fact and selling away and order them to pay their former customer, an IRA (individual retirement account) $36,528, plus costs. FINRA Case # 11-3807.
The investments complained of in the matter were two private placement promissory notes:
- Athena Premium Funding II LLC
- SHL Holdings
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