Mark Katz Of Western International Securities, Inc. And Formerly With Hilltop Securities Inc. Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Mark Katz of Western International Securities, Inc.?

Mark Katz

Mark Katz (CRD #3055019) who is currently registered as a broker and investment adviser with Western International Securities, Inc. and located in Pasadena, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Western International Securities, Inc., Mark Katz was associated with Hilltop Securities Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Mark Katz Customer Complaints

Mark Katz has been the subject of 3 customer complaints that we know about to recover investment losses. One customer complaint was settled by Hilltop Securities in favor of the investor. The other 2 customer complaints were denied by the same brokerage firm and the customers took no further action.

Allegations Against Mark Katz

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Unsuitable investment recommendations misrepresentation, and breach of fiduciary duty in connection with the offer and sale of master limited partnerships and non-traded REITs.
  • Unsuitable and authorized trading, misrepresentation, excessive trading, and financial exploitation.
  • Misrepresentation and unsuitable recommendations of a Mainstay Cushing Energy Income Fund.

Mark Katz Red Flags & Your Rights As An Investor

Of course, Mark Katz 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 Katz at Western International Securities, Inc. and Hilltop Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Katz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Inc. and Hilltop Securities Inc. also raises questions about the brokerage firms’ 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?

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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 Western International Securities, Inc. Due To Mark Katz

If you have questions about Western International Securities, Inc., Hilltop Securities Inc. and/or Mark Katz 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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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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