Securities Arbitration Lawyers BlogFormer Revere Securities Broker Noel Fleming Under Investigation After FINRA Bars Him
Silver Law Group is investigating former Boston-based Revere Securities LLC (CRD# 14178) broker Noel Fleming (CRD# 2030824) after FINRA permanently barred him.
According to Fleming’s FINRA BrokerCheck report, FINRA permanently barred Fleming in July 2016 when he failed to respond to a FINRA inquiry.
Fleming’s BrokerCheck reflects that he racked up numerous tax liens and judgments totaling $150,000 between 2010 and 2014. In that same period, there were three financial disclosures that were compromises to pay the debts.