Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Perry (Perry), previously associated with Brokers International Financial Services, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Perry 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 $150,000.00 on June 22, 2020.
Arbitration claims Insurance Agent took checks made payable to his firm totaling $150,000 and converted it for personal use. Firm and Rep are named as responsible for supervision of the Agent’s activity for his own company where Rep happened to be employed.