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Mark Richards Of Madison Avenue Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Mark Richards of Madison Avenue Securities, LLC?

Mark Richards (CRD #2730478) who is currently registered with Madison Avenue Securities, LLC and located in Albuquerque, New Mexico is a subject of one of our many securities industry sales practice abuse investigations.

Mark Richards Customer Complaints

Mark Richards has been the subject of 2 customer complaints that we know about. One of Mark Richards’ 2 customer complaints was settled in favor of investors. One of Mark Richards’ customers’ complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Mark Richards

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

  • Claimant purchased two alternative investments for $260,000. Claimant alleged Mark Richards failed to disclose risk and illiquid nature of investments. Claimant also invested in a third party managed account that lost value.
  • Customer alleged Mark Richards’ misleading and unethical investment practices related to the decline in the stock market in their investments.

Mark Richards Red Flags & Your Rights As An Investor

Of course, Mark Richards 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 Richards at Madison Avenue Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Richards has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue Securities, LLC 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.

File A Claim To Recover Your Investment Losses At Madison Avenue Securities, LLC Due To Mark Richards

If you have questions about Madison Avenue Securities, LLC and/or Mark Richards 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.

Author Photo

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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