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Written by 9:21 pm Blog, Current Investigations

Thomas J. Marino Broker Investigation

Thomas J. Marino Broker Investigation, Featured by Top Securities Fraud Attorneys, The White Law Group

Thomas J. Marino – RM Stark & Co. – Delray Beach, Florida

Are you concerned about your investments with Thomas J. Marino in Delray Beach, FL? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution Claim.

According to the Financial Industry Regulatory Authority (FINRA), the regulator reportedly barred Marino yesterday from working in the securities industry. According to theLetter of Acceptance Waiver & Consent,   FINRA was reportedly investigating Marino’s alleged misuse of funds from a senior customer, and reportedly when FINRA staff issued Marino a request to provide documents and information, he allegedly refused.

Marino was reportedly registered with RM Stark & Co., from March 2012 until June 2019. Marino allegedly has 3 customer disputes listed on his broker report, including 1 pending complaint for allegations of “inappropriate and unsuitable investments for her objectives and risk tolerance.” He also reportedly has an employment separation from JW Cole Financial noted from 2012 allegedly related to variable annuity exchanges, according to his broker report.

Potential Lawsuits to Recover Losses

The White Law Group is investigating potential securities fraud claims involving the liability that Marino’s previous employers may have for failure to properly supervise him.

When brokers abuse client accounts and conduct transactions that violate securities laws, such as churning, and unauthorized trades, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration.

Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. We represent investors in FINRA arbitration claims in all 50 states, including Florida. Our attorneys have recovered millions of dollars from many brokerage firms in the past.

If you are concerned about your investments with Thomas J. Marino, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.

For more information on The White Law Group, and its representation of investors, please visit WhiteSecuritiesLaw.com.


Tags: , , , , , Last modified: March 28, 2023