The following summation of information was obtained by Soreide Law Group on FINRA's Website under "Disciplinary and Other Actions, November 2014."
Mark Foster (CRD #719105, Pasadena, California)
was barred by FINRA for failure to respond to FINRA's requests for information and documents and failure to appear before FINRA and provide on-the-record testimony.
The requests from FINRA stemmed from allegations that Mark Foster may have misappropriated more than $2 million in client funds.
(FINRA Case #2014039867601)
FINRA has permanently barred Mark Foster from acting as a broker or otherwise associating with firms that sell securities to the public.
Mark Foster was previously registered with the following securities firm(s):
12/2006 - 05/2012 STERN FISHER EDWARDS INC (CRD# 7548) - LOS ANGELES, CA
11/1984 - 12/2006 THE SEIDLER COMPANIES INCORPORATED (CRD# 3911) - LOS ANGELES, CA
11/1980 - 12/1984 BATEMAN EICHLER, HILL RICHARDS, INCORPORATED (CRD# 76)
This ends the summation of information from FINRA's website.
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