Darrin B. Farrow—Private Securities Transactions without Proper Approval

New Orleans stockbroker fraud attorney

New Orleans stockbroker fraud attorney

Darrin B. Farrow Allegedly Participated in Private Securities Transactions, MAD Farmaceuticals and MAD Oregon LLC, without Disclosing Said Transactions to His Broker-Dealer, Royal Alliance

Darrin B. Farrow, of Rocky River, Ohio, allegedly participated in private securities transactions without disclosing said transactions to broker-dealer, Royal Alliance, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by Cleveland attorneys Alan Rosca and James Booker.

Darrin B. Farrow, in 2012, founded MAD Farmaceuticals, an entity that provides consulting services to the cannabis industry and also cultivates, produces, and manufactures cannabis in states where such activities are legal, the aforementioned AWC notes.

Darrin B. Farrow, around February of 2015, also formed MAD Oregon LLC, an entity that grows cannabis and supplies it to dispensaries throughout Oregon, the AWC also reports. The Peiffer Rosca Wolf securities lawyers are currently investigating Darrin B. Farrow’s alleged private securities transactions without proper approval.

Darrin B. Farrow Allegedly Solicited Six Royal Alliance Customers to Invest in MAD Oregon; Farrow Suspended and Fined $25,000 by FINRA

Darrin B. Farrow allegedly solicited six Royal Alliance customers to invest in MAD Oregon, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Said six investors allegedly paid a total of $1,000,000 to purchase membership interests in MAD Oregon and Farrow allegedly did not disclose the sale of said membership interest to Royal Alliance, the AWC notes.

Darrin B. Farrow’s actions allegedly violated NASD and FINRA Rules, and hence was suspended for 12 months and fined $25,000 by FINRA, the AWC notes. One should also note that, according to the AWC, Darrin B. Farrow neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged unauthorized transactions and are currently investigating Darrin B. Farrow’s alleged private securities transactions without approval. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Darrin B. Farrow’s alleged private securities transactions without approval may contact the Cleveland securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1168 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


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 cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.