Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Katz (Katz), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Katz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $358,162.96 on February 20, 2024.
Client alleged transactions in fixed income securities were not authorized and inappropriate that created losses in his accounts in 2023.