Former Legend Securities Broker Brian Decker Consents to FINRA’s Permanent Ban from Securities Industry

Brian Decker (Brian Keith Decker) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. The attorneys of Fishman Investment Fraud Lawyers are currently investigating possible claims against stockbroker Brian Keith Decker.

In May 2018 Brian Decker was banned permanently from practicing as a broker. Brian Decker worked for Legend Securities, Inc. in Staten Island, New York from September 2009 to November 2016.

Brian Decker was previously associated with VFinance Investments, and most recently, he was working for Worden Capital Management, LLC from April 2017 to April 2018.

FINRA alleges that Brian Decker engaged in the following misconduct: failing to comply with FINRA’s request for documents and information relating to FINRA’s investigation into allegations of conversion when Brian Decker was employed by Legend Securities.

Brian Decker’s BrokerCheck Report reveals that several customers initiated FINRA arbitration claims against him relating to various misconduct, including the purchase of unsuitable investments, misrepresentations, breach of fiduciary duty, churning, and fraud. Many of these customers were able to settle their disputes for significant sums. FINRA also reported that 5 judgments/liens had been filed against Brian Decker in Virginia, New York, and Tennessee.

Brian Decker has been the subject of at least 11 customer disputes.

If you invested money through Brian Decker, we would like to talk to you. Fishman Investment Fraud Lawyers are experienced securities litigators. We have helped hundreds of clients recover their losses that were due to broker fraud or negligence. Contact us today to discuss your options and receive a free consultation.

Fishman Haygood Investment Fraud Lawyers represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.

Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood Investment Fraud lawyer today.

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