Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: MOLONEY SECURITIES CO., INC., and their registered representative, ROBERT MORGAN VANCE. The Claimant, who resides in California, is a retired government employee who took a retirement planning class in 2014.  MOLONEY SECURITIES representative, ROBERT MORGAN VANCE, taught the class and […]

Glen Cole Involved In Moloney Securities Client Dispute About Purportedly Unsuitable Investments Soreide Law Group comes to you with new information in regard to securities broker Glennon "Glen" James Cole (CRD#: 1999588, Manchester, Missouri). Evidently, Cole is a former Moloney Securities Co. Inc. securities broker. He also used to work for firms First Brokerage America, […]

Moloney Securities Co., Inc. (CRD #38535, Manchester, Missouri) was censured and fined $20,000 for allegedly allowing their representatives to recommend and sell non¬traditional ETFs to their clients. FINRA's report stated that Moloney Securities' Written Supervisory Procedures (WSPs) didn't address the sale or the supervision of non-traditional exchange traded funds (ETFs), and Moloney Securities did not […]