Former Investors Capital Broker Noel R. Vincent Subject to Several FINRA Customer Complaints

By June 30, 2016 September 20th, 2017 News

According to his FINRA Broker Check report, former Houston-based Investors Capital Broker Noel R. Vincent has been the subject of 9 FINRA customer complaints.  The main thrust of the complaints was the suitability of private placement or alternative investments in oil and gas ventures and real estate investments.

Noel Vincent was previously sanctioned in Texas for failing to have all client forms completed and directing his assistant fill in the remainder of the forms, even initialing on the customers behalf.

Noel Vincent was a registered representative of Investors Capital Services from September 2001 through November 2009.  Since that time, he has been a registered representative of Madison Avenue Securities and operates under Senior Partners Private Wealth Management.

Fishman Haygood 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 lawyer today.

5 STEPS YOU SHOULD TAKE TODAY IF YOU'RE THE VICTIM OF INVESTMENT FRAUD