Marc Greenberg: Investor Seeks $15 Million in Complaint Against Former Legend Rep

Marc GreenbergPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that New York-based JH Darbie & Company broker Marc Greenberg has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Greenberg (CRD# 2276287).

Marc Greenberg has spent 16 years in the securities industry and has been registered with JH Darbie & Company in New York, New York since 2016. Previous registrations include Legend Securities in New York, New York (2012-2016); John Thomas Financial in New York, New York (2007-2011); Palladium Capital Advisors in New York, New York (2007); Pond Equities in Lawrence, New York (2007); Spencer-Winston Securities Corporation in New York, New York (2004-2005); Schonfeld Securities in Jericho, New York (2001-2002); Shochet Securities in Boca Raton, Florida (1998-2001); and GKN Securities Corporation in New York, New York (1998-2001). He has passed nine securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 27, 1998; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 55 (Limited Representative-Equity Trader Exam), which he obtained on December 19, 2000; Series 7 (General Securities Representative Examination), which he obtained on August 5, 1998; Series 53 (Municipal Securities Principal Examination), which he obtained on July 2, 2009; Series 4 (Registered Options Principal Examination), which he obtained on September 23, 2008; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on May 15, 2001; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on March 27, 2001; and Series 24 (General Securities Principal Examination), which he obtained on November 30, 1998. He is a registered broker with one US state—New York—and with two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Market.

According to his BrokerCheck report, he has received four pending customer complaints.

In November 2018 a customer alleged Marc Greenberg, while employed at Legend Securities, violated NASD Conduct Rules 3010(a) and 3010(b), and FINRA Rules 3110(a), 3110(b), and 2010. The customer is seeking $15,000,000 in damages in the pending complaint.

In August 2017 a customer alleged Marc Greenberg, while employed at Legend Securities, failed in his supervisory duties. The customer is seeking more than $582,100 in damages in the pending complaint.

In January 2018 a customer alleged Marc Greenberg, while employed at Legend Securities, failed in his supervisory duties. The customer is seeking more than $386,200 in damages in the pending complaint.

In May 2017 a customer alleged he, while employed at Legend Securities, failed two supervise two brokers who allegedly engaged in unsuitable, unauthorized and excessive trades. The customer is seeking more than $3,175,600 in damages in the pending complaint.

If you have lost money investing with Marc Greenberg, you may be entitled to recoup your losses. Call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.