Alex Williams (CRD# 2646185), a broker and investment adviser based in New York, has received a pending customer complaint. According...Read More
Marc Greenberg: $15 Million Complaint Against JH Darbie Broker
Pending investor complaints against JH Darbie & Company broker Marc Greenberg (CRD# 2276287) describe activity including supervisory failures and violations of securities rules. One such pending complaint alleges damages of $15 million. Mr. Greenberg is employed with JH Darbie & Company in New York, New York, where he has been employed since 2016, according to information drawn from Financial Industry Regulatory Authority records.
Marc Greenberg allegedly violated NASD and FINRA rules, according to a pending November 2018 customer complaint concerning his conduct at Legend Securities. The rules in question include 3010(a) and 3010(b) (NASD), and 3110(a), 3110(b), and 2010 (FINRA). These rules concern such matters as supervisory conflicts and standards of commercial honor and principles of trade. The claimant alleges damages of $15 million.
Marc Greenberg allegedly fell short in his duties as supervisor over other representatives, according to a pending January 2018 customer complaint concerning his conduct at Legend Securities. The claimant alleges damages of $386,279.09.
He also allegedly fell short in his duties as supervisor according to a pending 2017 customer complaint concerning his conduct at Legend Securities. The claimant alleges damages of $582,116.43.
A pending May 2017 also alleges that Mr. Greenberg fell short in his supervisory responsibility over two other brokers, who allegedly engaged in activities including excessive trades and unauthorized trades. The claimant alleges damages of more than $3.1 million.
Marc Greenberg’s current registration, with JH Darbie & Company, began in 2016. His employment history includes Legend Securities, John Thomas Financial, Palladium Capital Advisors, Pond Equities, Spencer-Winston Securities Corporation, Schonfeld Securities, Shochet Securities, and GKN Securities Group. Legend Securities and John Thomas Financial have both been expelled from the securities industry, in 2017 and 2013 respectively. Mr. Greenberg’s state licenses include only New York. He has passed nine securities industry qualification examinations. (Information current as of August 7, 2019.)