August 2016-Boca Raton, Florida
The FINRA records of Mark S. Garfinkel , a stock broker who is currently employed by Oppenheimer & Co. , disclose five prior customer disputes and and one financial event.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Garfinkel’s prior customer disputes include:
- New York Stock Exchange Case#2002-010633-In which a customer of Garfinkel’s prior employer, Morgan Stanley, alleged damages of $435,000 for common law and statutory securities violations. That case was settled for $95,000.
Garfinkel discloses the filing of a Chapter 7 personal bankruptcy proceeding in 9/2010 in U.S. Bankruptcy Court Southern District of Florida.
Garfinkel has been employed by Oppenheimer & Co. at 4855 Technology Way, Suite 400, Boca Raton, FL, since 11/2013. Garfinkel’s prior employment includes:
- Raymond James, Jupiter, FL 2/2013-11/2013
- Morgan Keegan, Jupiter, FL 8/2010-2/2013
- Morgan Stanley SB, Boca Raton 6/2009-8/2010
- Citigroup Global Mkt, Boca 4/2005-6/2009
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900