According to a Financial Industry Regulatory Authority (FINRA) Letter of Acceptance, Waiver and Consent (AWC), Robert Collins Noe was suspended from the industry for two months and fined $5,000. Noe allegedly signed a customer’s name on an annuity withdrawal form in order to help effectuate a bona fide annuity withdrawal on behalf of that customer. Noe signed the customer name and submitted it to the firm for processing. This is against securities rules and regulations. If you or someone you know invested money with Robert Collins Noe, you may be able to sue his former brokerage firm, Summit Brokerage Services, for investment losses. Summit had a duty to reasonably supervise Noe while he was employed there. The call to us is free and we take cases on a contingency fee basis only.
According to his online FINRA BrokerCheck report, Noe was registered with the following companies: E.F. Hutton & Co., Shearson Lehman Hutton Inc., Dean Witter Reynolds Inc., D.E. Frey & Co., Olde Discount Corp, Meridian Associates, Schlitt Investor Services and Summit Brokerage Services in Vero Beach, Florida from August 2001 until September 2015. He has three customer disputes against him, two of which are currently pending. He is not licensed within the industry.
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