Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Glennon James Cole (also known as Glen James Cole) [CRD: 1999588, Manchester, Missouri], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Glennon Cole worked for Moloney Securities Co. Inc. from September 14, 2012, to February 8, 2021. Here’s more about the securities broker’s disclosures.
Particularly, on July 10, 2023, a Moloney Securities Co. Inc. client filed FINRA Arbitration No. 23-01906 about Glennon Cole. Supposedly, Cole was negligent and made unsuitable recommendations from 2018 to 2020. Because of this, the client allegedly sustained damages on direct investments. As a result, the client requested $150,000 in compensation from Moloney Securities Co. Inc. or Cole. Evidently, this arbitration is pending a resolution.
Also, a Moloney Securities Co. Inc. client filed FINRA Arbitration No. 22-01272 about Glennon Cole. Supposedly, Cole was negligent and made unsuitable recommendations. Because of this, the client allegedly sustained damages on corporate bonds. So, on October 11, 2023, Moloney Securities Co. Inc. settled this matter by paying the client $55,000 in damages.
Additionally, a client of Moloney Securities Co. Inc. contested Glennon Cole’s sales practices by filing FINRA Arbitration No. 22-02190. Allegedly, Cole gave unsuitable advice and acted negligently in the client’s account. As a result, Moloney Securities Co. Inc. opted to settle the matter on January 2, 2024, by compensating the client in the amount of $15,000.
Further, a Moloney Securities Co. Inc. client filed FINRA Arbitration No. 22-02169 about Glennon Cole. Evidently, the client alleged negligence and unsuitable recommendations of corporate bonds. Therefore, on May 9, 2023, Moloney Securities Co. Inc. settled this matter by paying the client $25,000 in damages.
Also, a client of Moloney Securities Co. Inc. contested Glennon Cole’s sales practices by filing FINRA Arbitration No. 22-00931. Allegedly, Cole made unsuitable recommendations of direct investments. As a result, Moloney Securities Co. Inc. opted to settle the matter on February 20, 2024, by compensating the client in the amount of $375,000.
Suffered losses because of any sales practice violation by financial advisor / securities broker Glennon Cole? If you have, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about your legal options. Soreide Law Group has recovered losses for many clients in the US, works on a contingency fee basis, and advances all costs. Cole and brokerage firms Cole worked for deny any allegations of sales practice violations.
Investors apparently complained about securities broker Thaddeus Michael Eubanks [CRD: 5888014, Yuba City, California], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. FINRA BrokerCheck reflects that Eubanks was registered with Edward Jones in Yuba City, California for more than a decade before his association with the firm ended in 2026. Keep reading […]
Investors potentially incurred losses because of securities broker Leslie D. Sprockett [CRD: 2886716, Elgin, South Carolina], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leslie Sprockett worked for WRP Investments Inc. from June 11, 1997, to September 12, 2014, and has worked for StoneX Securities Inc. since September 12, 2014. Investors are […]
Investors potentially experienced sales practice violations by securities broker Chad Kristopher Mehle [CRD: 7008517, Irvine, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mehle worked for J.P. Morgan Securities LLC from September 20, 2023, to March 25, 2026, and previously worked for Merrill Lynch from July 5, 2022, to […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com