Noel Carino, formerly with General Securities Corp., Barred from Securities Industry

Have you lost money with financial advisor Noel Carino from Blue Springs, Missouri?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Noel Carino. FINRA barred Carino from the securities industry after he failed to respond to an investigation.  Carino was being investigated regarding allegations whether he engaged in outside business activities without disclosing such to his former brokerage firm, General Securities Corp.  Carino was also being investigated to determine whether he engaged in private securities transactions and whether he disclosed all outside brokerage accounts.

Noel Carino was a registered representative and financial advisor with General Securities Corp. from 2006 to October 2017.  He worked out of branch offices in North Kansas City and Blue Springs, Missouri.

Broker-dealers like General Securities Corp. have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives.  Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations.  When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Our firm represents investors throughout the country who are victims of financial advisors’ negligence and fraud in FINRA arbitration.  Our firm has offices in Seattle and Denver, and we continue to represent investors throughout the U.S., including in Missouri.  Our attorneys have recovered millions of dollars for investors against numerous brokerage firms and all of our Arbitration cases are taken on a contingent fee basis, meaning you do not pay us unless we recover money for you.

Click to view:  Carino, Noel FINRA AWC

Click to view:  Carino, Noel BrokerCheck 12.3.18

If you have lost money with Noel Carino and General Securities Corp., and want to hear about ALL legal options, please visit https://www.israelsneuman.com/ or call us at 720-599-3505.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.