According to AdvisorHub magazine, Noble Capital Markets broker Christine A. Murphy was suspended for one month from the industry and fined $5,000 by the Financial Industry Regulatory Authority (FINRA). Murphy was accused of using her login credentials at Noble after she was terminated to alter the firm’s reason for her termination on a U5 filing from “permitted to resign” to “voluntary.” At the time, Murphy was also registered as a financial and operations principal at two other firms in addition to Noble. This is against securities laws and internal firm rules. Noble Capital Markets may be liable for investment losses on a contingency fee basis in the FINRA arbitration forum. The firm had a duty to reasonably supervise Ms. Murphy while she was registered with the firm.
Christine Alexandria Murphy was previously registered with Noble International Investments in Boca Raton, Florida from April 1993 until March 1997, VFinance Investments, DeWaay Financial Network, CBG, Summit Brokerage Services, Olympus Securities, Plan Professionals, Tontine Investment Group, Coastal Equities, Northeastern Financial Group, Avior Capital, NCG Securities, I-Bankers Securities, Noble Capital Markets in Boca Raton from May 2016 until August 2017 and Thornhill Securities in Austin, Texas from July 2015 until September 2017. She is currently registered with Innovation Partners in Charlotte, North Carolina, and has been since December 2012. She has one regulatory matter against her. This is according to her online, public BrokerCheck report with FINRA.
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