In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Investors may have suffered financial harm by securities broker Joel Donald Marks [CRD: 320209, Fredericksburg, Virginia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marks worked for CUNA Brokerage Services Inc. from June 6, 2018, to May 17, 2022, and has worked for Ameriprise Financial Services LLC since May 17, 2022. Investors are encouraged to continue reading to find out more about Marks’s disclosures.
Evidently, a client filed a complaint about Joel Marks. Mainly, the client alleged that Marks failed to establish or fund two 529 plans containing $20,000 each after meeting with the client to open the accounts. For this reason, the client allegedly sustained damages involving 529 plans. Consequently, on February 18, 2025, CUNA Brokerage Services settled this matter by paying the client $11,710.
Additionally, a client of CUNA Brokerage Services contested Marks’s sales practices by filing FINRA Arbitration No. 23-01300. Allegedly, Marks breached a contract and his fiduciary duty, was negligent, and violated Virginia securities laws, FINRA rules, and Regulation Best Interest. It appears that Marks caused the client to sustain damages tied to mutual funds. As a result, CUNA Brokerage Services opted to settle the matter on March 19, 2024, by compensating the client in the amount of $33,000.
Did you experience losses because of Joel Marks? Get in touch with Soreide Law Group at (888) 760-6552 or online and speak with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of investors throughout the United States. Also, our securities lawyers handle cases on a contingency fee basis and advance all costs. Marks and the brokerage firms he worked for deny allegations of sales practice violations.
In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Centaurus Financial appears as the firm on a pending customer arbitration against Brett Ewing (CRD 2904608). The customer filed it on September 14, 2026. According to BrokerCheck, the customer alleges that Ewing recommended unsuitable, illiquid investments from February 2016 through February 2019. Ewing denies the allegations, and no arbitrator has ruled.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
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