WALTER JOSEPH MARINO (WALTER MARINO) CRD#: 2121623, A former broker with Legend Equities Corporation of Palm Beach Gardens, Florida, has had a disciplinary complaint filed against him by the Financial Industry Regulatory Authority Inc. (FINRA) for allegedly recommending exchanges of non-qualified variable annuities to two clients without having a reasonable basis for recommending the transactions. […]

The following summation of information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, December, 2013.” Charles Scot Jacobi (CRD #1209710, Registered Principal, Palatine, Illinois) was fined $25,000, suspended from association with any FINRA member in any capacity for one month, and ordered to retake the examinations for the Series 7 and 63 […]