December 2017 - Epperson & Greenidge LLP

Noble Capital Markets, Inc. fka Noble Financial Capital Markets Has Been the Subject of a FINRA Sanction

by M@jux-@dmin | Dec 18, 2017 | Uncategorized

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 17, 2017 indicate that Boca Raton-based brokerage firm Noble Capital Markets, Inc. fka Noble Financial Capital Markets (CRD #15768) has received a FINRA fine....

Red Flags of Trade Churning in Investor Accounts

by M@jux-@dmin | Dec 18, 2017 | Uncategorized

Trade churning occurs when brokers trade excessively within client accounts for the purpose of generating commission. To determine whether trading frequency was excessive, it must be shown that a broker or firm had the power and authority to exercise control over...

3 Ways to Protect Yourself Against Fraud and Misrepresentation from Stock Brokers

by M@jux-@dmin | Dec 6, 2017 | Uncategorized

When investors entrust their finances with brokers, they reasonably expect that brokers will be honest and transparent about the risks and benefits of the transactions they make on behalf of investors. Unfortunately, brokers commit fraud everyday by misrepresenting or...

Noble Capital Markets, Inc. fka Noble Financial Capital Markets Has Been the Subject of a FINRA Sanction

Red Flags of Trade Churning in Investor Accounts

3 Ways to Protect Yourself Against Fraud and Misrepresentation from Stock Brokers

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