Articles Tagged with Madison Avenue Securities

David Barber (CRD #1165082) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Barber consented to the sanction and to the entry of findings that he failed to produce information and documents requested by FINRA during the course of an ongoing examination to determine whether he engaged in unauthorized trading in the accounts of customers of his member firm, exercised discretion in customer accounts without written authorization, or otherwise acted in violation of FINRA rules.

David Barber has been registered with Madison Avenue Securities in San Diego, California since 2015.  In January 2018, a securities arbitration award granted a California investor over 2 million dollars in compensatory and punitive damages and attorney’s fees.  The securities arbitration panel found Madison Avenue and Mr. Barber liable for churning, unauthorized trading and breach of fiduciary duty.

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