ORIGINAL POST MARCH 2016
FINRA records report that Brian K. Decker, who has been registered with Legend Securities since 9/2009, is named in a 2 currently pending arbitrations:
- FINRA Case 15-889 by a customer who alleges that Decker engaged in fraud, negligent misrepresentation, breach of fiduciary duty and churning and is seeking damages of $150,000.
- FINRA Case 15-802 filed by a Florida resident, alleges that Decker was not licensed to sell securities in Florida, made false statements of material fact, engaged in unauthorized transactions, failed to follow instructions, engaged in churning and stock manipulation and improperly used margin borrowing in the account. The customer alleges damages of $150,000.
Brian Decker has been named in nine other customer disputes that have been resolved, including:
- A July 2015 settlement of $35,000 to a customer alleging failure to supervise and unsuitable investments.
- FINRA Case 14-2734 alleging violation of Colorado securities and consumer protection laws, negligence and common law fraud, settled for $14,999.
- FINRA Case 12-1033 alleging breach of fiduciary duty, negligence, churning and fraud settled for $32,500.
Prior to joining Legend Securities, Decker was registered with VFinance Investments.
We are investigating Legend Securities broker Brian Decker and would like to speak with any of his present or prior customers who may have information they believe to be helpful to this investigation.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900