{"id":2838,"date":"2016-01-14T00:00:00","date_gmt":"2016-01-14T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/marc-arena-hear-no-evil-see-no-evil-allegations\/"},"modified":"2018-10-08T12:38:30","modified_gmt":"2018-10-08T16:38:30","slug":"marc-arena-hear-no-evil-see-no-evil-allegations","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/marc-arena-hear-no-evil-see-no-evil-allegations\/","title":{"rendered":"Marc Arena: Hear No Evil, See No Evil Allegations"},"content":{"rendered":"<\/p>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"alignnone wp-image-2547\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Marc-Arena-Hear-No-Evil-See-No-Evil-Allegations.jpg\" alt=\"Marc Arena: Hear No Evil, See No Evil Allegations on silverlaw.com\" width=\"556\" height=\"370\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Marc-Arena-Hear-No-Evil-See-No-Evil-Allegations.jpg 1698w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Marc-Arena-Hear-No-Evil-See-No-Evil-Allegations-300x200.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Marc-Arena-Hear-No-Evil-See-No-Evil-Allegations-768x512.jpg 768w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Marc-Arena-Hear-No-Evil-See-No-Evil-Allegations-1024x682.jpg 1024w\" sizes=\"auto, (max-width: 556px) 100vw, 556px\" \/><\/p>\n<h2>After multiple allegations and failure to supervise, New York broker Marc Arena faces stiff FINRA suspension.<\/h2>\n<p style=\"text-align: justify;\">Newport Coast Securities broker Marc Arena has received <span style=\"text-decoration: underline;\"><a href=\"https:\/\/www.finra.org\/\"  target=\"_blank\">a suspension from the Financial Industry Regulatory Authority (FINRA)<\/a><\/span> for failing to adequately supervise a member of his FINRA registered firm. He allegedly did not take action to address multiple red flags indicating that a member of his firm was participating in excessive trading, churning, and giving unsuitable recommendations to customers. As the supervisor, <span style=\"text-decoration: underline;\"><a href=\"https:\/\/www.silverlaw.com\/stockbroker-misconduct.html\"  target=\"_blank\">it was his responsibility to take reasonable action to address this broker misconduct<\/a><\/span> and ensure that it did not continue to occur. <span style=\"text-decoration: underline;\"><a href=\"https:\/\/brokercheck.finra.org\/Individual\/Summary\/2754309\"  target=\"_blank\">According to FINRA reports, Mr. Arena\u2019s alleged failure to take action<\/a><\/span> resulted in a FINRA suspension for acting in any capacity for 10 days and a suspension for acting in any principal capacity for 23 months ending in October, 2017.<\/p>\n<h3>Arena\u2019s history in the securities industry<\/h3>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/marc-arena-hear-no-evil-see-no-evil-allegations\/\"  title=\"Continue Reading Marc Arena: Hear No Evil, See No Evil Allegations\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>After multiple allegations and failure to supervise, New York broker Marc Arena faces stiff FINRA suspension. Newport Coast Securities broker Marc Arena has received a suspension from the Financial Industry Regulatory Authority (FINRA) for failing to adequately supervise a member of his FINRA registered firm. He allegedly did not take action to address multiple red [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[607],"tags":[412],"class_list":["post-2838","post","type-post","status-publish","format-standard","hentry","category-failure-to-supervise","tag-evil-allegations"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Marc Arena: Hear No Evil, See No Evil Allegations &#8212; Securities Arbitration Lawyers Blog &#8212; January 14, 2016<\/title>\n<meta name=\"description\" content=\"After multiple allegations and failure to supervise,Check out the new article Marc Arena: Hear No Evil, See No Evil Allegations on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/marc-arena-hear-no-evil-see-no-evil-allegations\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Marc Arena: Hear No Evil, See No Evil Allegations &#8212; 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