RedFlag, Allegation and/or Complaint against MARK ALAN RICH
Disclosure #1 for MARK RICH
- Event Date: 9/17/2014
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Initiated By: STATE OF HAWAII DIVISION OF FINANCIAL INSTITUTIONS DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS
- Allegations: FILED FINANCIAL CONDITION REPORT 79 DAYS LATE. VIOLATION OF SECTION 454F-16
- Resolution: LETTER AGREEMENT
- Sanction Details :: Sanctions: Civil and Administrative Penalty(ies)/Fine(s)
- Sanction Details :: Amount: $7,900.00
- Broker Comment: A FINAL RESOLUTION BY AGREEMENT REDUCED THE FINE TO $1000 WHICH HAS BEEN PAID AND A SIGNED AGREEMENT HAS BEEN ACCEPTED.
Should I file a FINRA complaint against brokers like MARK ALAN RICH?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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Originally reported on November 17, 2022 @ 9:01 pm