Articles Tagged with David Barber

David BarberPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that former California-based Madison Avenue Securities broker David Barber, who was received resolved or pending customer disputes, was recently sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Barber (CRD# 1165082).

David Barber has spent 31 years in the securities industry and was most recently registered with Madison Avenue Securities in San Diego, California (2015-2018). Previous registrations include First Midwest Securities in Newport Beach, California (2011-2015); Raymond James & Associates in Newport Beach, California (2007-2011); RBC Dain Rauscher in Newport Beach, California (2002-2007); Sutro & Company in San Francisco, California (1999-2002); Crowell Weedon & Company in Los Angeles, California (1987-1994); and Birr Wilson Securities (1986-1987). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 1, 1995, and Series 7 (General Securities Representative Examination), which he obtained on July 19, 1986. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint, two regulatory sanctions and two pending customer complaints.