DID MARK STEWART BRODY CAUSE YOU INVESTMENT LOSSES?
Mark Brody Of Planned Financial Programs, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Mark Brody of Planned Financial Programs, Inc.?
Mark Brody (CRD #1475753) who is currently registered as a broker and investment adviser with Planned Financial Programs, Inc. and located in Melville, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Planned Financial Programs, Inc., Mark Brody was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Mark Brody Customer Complaints
Mark Brodyhas been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints were settled by Planned Financial Programs in favor of the investors.
Allegations Against Mark Brody
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Failure to provide suitable investments and misrepresentations in connection therewith.
- Unsuitable recommendations of securities and overconcentration in a managed accounts.
Mark Brody Red Flags & Your Rights As An Investor
Of course, Mark Brody did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mark Brody at Planned Financial Programs, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Brodyhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Planned Financial Programs, Inc.also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Planned Financial Programs, Inc. Due To Mark Brody
If you have questions about Investors Planned Financial Programs, Inc. and/or Mark Brody and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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