DID MARK STEPHEN FALTER CAUSE YOU INVESTMENT LOSSES?
Mark Falter Formerly With Investors Capital Corp. Has 5 Customer Complaints For Alleged Broker Misconduct
Who is Mark Falter formerly with Investors Capital Corp.?
Mark Falter (CRD #1387482) who was formerly registered with Investors Capital Corp. and located in Kansas City, Missouri, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Investors Capital Corp., Mark Falter 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 Falter Customer Complaints
Mark Falter has been the subject of 5 customer complaints that we know about to recover investment losses. Four of the customer complaints were settled by Mark Falter’s former employers in favor of the investors. Only one of those complaints was denied and the customer took no further action.
Allegations Against Mark Falter
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 recommendation to surrender variable annuity contract.
- Unsuitable investment recommendation of variable annuity contracts.
- Failure to execute a transaction as requested.
- Dissatisfaction with the fixed annuity purchase.
Mark Falter Red Flags & Your Rights As An Investor
Of course, Mark Falter 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 Falter at Investors Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Mark Falter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Investors Capital Corp. 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 Investors Capital Corp. Due To Mark Falter
If you have questions about Investors Capital Corp. and/or Mark Falter 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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