Investor Alert > David Manor— Alleged Unapproved Outside Business Activity
Posted Jan 20, 2019
by Alan Rosca

David Manor— Alleged Unapproved Outside Business Activity

David Manor Under FINRA Investigation for Allegedly Engaging in an Unapproved Outside Business Activity

David Manor fell under the scope of a FINRA investigation for allegedly engaging in an unapproved outside business activity in violation of FINRA Rules, according to a ongoing Investigation filed on Manor’s FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca.

The aforementioned dispute was filed on December 7, 2018, FINRA states, and FINRA has made a preliminary determination to recommend that disciplinary action be brought against David Manor, FINRA states.

Said investigation also alleges that Manor also purportedly made unapproved private securities transactions, failed to disclose an outside brokerage account, and also allegedly shared in proceeds with a customer, all in alleged violation of FINRA Rules, FINRA notes.

David Manor was also the subject of a settled customer dispute which alleges that, in 2017, he made unsuitable investments recommendations, FINRA states. The aforementioned dispute was filed on April 30, 2018, FINRA states, and is requesting $224,837.25 in damages, FINRA states. Said case was settled for $95,000, FINRA notes.

Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to David Manor’s alleged unapproved outside business activity.  Investors who believe they may have lost money in activity related to David Manor’s alleged unapproved outside business activity are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

David Manor Has 4 Disclosures During His 5 Years of Experience in the Securities Industry

David Manor has 4 disclosures on his FINRA BrokerCheck Report during his 5 years in the securities industry, FINRA notes.

David Manor has been registered at the following firms:

  • Wells Fargo Clearing Services, LLC, Boston, Massachusetts— August 8, 2016 to February 6, 2018
  • Santander Securities, LLC, Brookline, Massachusetts— February 5, 2013 to January 7, 2013
  • Merrill Lynch, Pierce, Fenner & Smith Inc., Boston, Massachusetts— June 29, 2012 to January 7, 2013

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.

Securities Lawyer Investigating

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating David Manor’s alleged unapproved outside business activity. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of David Manor’s alleged unapproved outside business activity may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

Contact us. All evaluations are free

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

Contact us at 888‑998‑0530 or through the contact form on this page.
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