Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
Read MoreNoel Vincent: Complaints Against Houston Financial Advisor
Settled and pending investor complaints against former Southfield, Michigan broker and investment advisor Noel Vincent (CRD#: 1370987) allege conduct including suitability violations, fraudulent concealment, misrepresentations, negligence, and more. Vincent is a former representative of Madison Avenue Securities, according to information drawn from Financial Industry Regulatory Authority records.
A pending 2019 complaint alleges that as a representative of Madison Avenue Securities, Noel Vincent misrepresented and recommended unsuitable investments. The complaint alleges damages of $100,000.
A pending 2018 complaint alleges that as a representative of Madison Avenue Securities and Investors Capital Corporation, Noel Vincent committed common law fraud, breached his fiduciary duty, acted negligently, misrepresented material facts, and engaged in fraudulent concealment. The complaint alleges damages between $100,000 and $500,000.
A pending 2018 complaint alleges that as a representative of Madison Avenue Securities and Investors Capital Corporation, Noel Vincent recommended unsuitable alternative investments that resulted in a loss of principal. The complaint alleges damages of $295,000.
A pending 2017 complaint alleges that as a representative of Investors Capital Corporation, he acted negligently, misrepresented and omitted material facts, and breached his fiduciary duty. The complaint alleges damages of $500,000.
A 2017 complaint alleged that as a representative of Madison Avenue Securities and Investors Capital Corporation, he recommended unsuitable alternative investments. The complaint reached a settlement of $35,000.
A 2015 complaint alleged that as a representative of Investors Capital Corporation, he recommended unsuitable real estate securities. The complaint reached a settlement of $125,000.
A 2013 complaint alleged that as a representative of Investors Capital Corporation, he recommended unsuitable real estate and oil and gas products. The complaint reached a settlement of $26,331.85.
A 2013 complaint alleged that as a representative of Investors Capital Corporation, he recommended unsuitable and unregistered securities, committed fraud, misrepresented material facts, and violated state securities law. The complaint reached a settlement of $87,568.30.
Noel Vincent is currently not registered as a broker or investment advisor. His employment history includes Ele Weath Advisors in Southfield, Michigan; Madison Avenue Securities in Houston, Texas; Investors Capital Corporation in Houston, Texas; Planmember Securities Corporation in Carpinteria, California; AAG Securities in Cincinnati, Ohio; and Aragon Financial Services in Irvine, California. He currently holds zero state licenses and has passed six securities industry qualification examinations.
