Articles Tagged with JH Darbie & Company

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.