According to FINRA, Mark Peter Koestner (CRD #1302960, Naples, Florida) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity.
Without admitting or denying the findings, Koestner consented to the sanction and to the entry of findings that he failed to appear for a FINRA on-the-record interview in connection with an investigation into allegations that he engaged in a private securities transaction or an outside business activity, or both.
For the full FINRA findings, see FINRA Case #2014042031901.
According to his FINRA BrokerCheck, Koestner was registered with Wells Fargo from 10/2000 – 07/2014.
The foregoing information, which is all available on the FINRA website, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. For more information on the firm and its representation of investors in claims against brokerage firms, visit https://whitesecuritieslaw.com.
For a free consultation with a securities attorney, please call 888-637-5510.Tags: Mark Peter Koestner financial advisor, Mark Peter Koestner FINRA bar, Mark Peter Koestner FINRA investigation, Mark Peter Koestner investment advisor, Mark Peter Koestner Naples, Mark Peter Koestner Wells Fargo Last modified: June 16, 2016