October 19, 2011

Mark Alan Weber of Palm City, FL, Fined and Suspended by FINRA

business man holding his head with text asking questions about stock broker misconduct
Mark Alan Weber (CRD #2322177, Registered Representative, Palm City, Florida)
 
submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 10 business days.
 
Without admitting or denying the findings, Weber consented to the described sanctions and to the entry of findings that he exercised discretion in customers’ accounts. The findings stated that although each of the customers had given Weber verbal authorization to use discretion in their accounts, Weber did not obtain the customers’ prior written authorization or his member firm’s written acceptance of the accounts as discretionary.
 
The findings also stated that the firm did not permit discretion to be utilized in retail
brokerage accounts. The suspension was in effect from September 6, 2011, through September 19, 2011. (FINRA Case #2008015184801)
 
This article was obtained on FINRA's website under 'Disciplinary Actions' Oct. 2011.

Securities Attorney, Lars Soreide, of Soreide Law Group, PLLC, has represented clients nationwide. If you or a family member have sustained a stock/securities loss through Mark Alan Weber, call a Securities Arbitration Lawyer for a free consultation on how to potentially recover your losses.  To speak with an attorney, call 888-760-6552, or visit www.securitieslawyer.com

Soreide Law Group, PLLC., representing investors nationwide before FINRA  the Financial Industry Regulatory Authority.

S H A R E   T H I S   P O S T

Recent Posts

September 9, 2026
Sandeep Madhavan Tied To Ameriprise Investor Complaint Regarding Unauthorized Trading

Investors potentially incurred losses because of securities broker Sandeep Madhavan [CRD: 4673687, El Segundo, California], according to information disclosed through FINRA BrokerCheck. Madhavan has worked for Ameriprise Financial Services as a securities broker since August 15, 2003, and as a financial advisor since May 10, 2007. Continue reading to find out more about the disclosed […]

September 9, 2026
Carlos Garcia Involved In Kovack Securities Inc. Investor Complaint Regarding Unsuitable Advice

Investors may have suffered financial harm by securities broker Carlos C. Garcia [CRD: 2635960, Westport, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Garcia has worked for Kovack Securities Inc. and Kovack Advisors Inc. since October 19, 2012. See below to learn more about Garcia’s disclosures. Kovack Investor Accused Garcia Of […]

September 9, 2026
David Janny Linked To Ameriprise Investor Arbitration Claim Regarding Unsuitable Advice

Investors might have sustained losses due to securities broker David Victor Janny [CRD: 1272727, Easton, Connecticut], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Janny has worked for Ameriprise Financial Services LLC since July 15, 2022, and previously worked for Morgan Stanley from November 21, 2012, to August 3, 2022. Investors […]

Contact us Nationwide USA
2401 E. Atlantic Blvd., Suite 305, Pompano Beach, FL 33062
Helping clients recover money across the USA
search
Copyright © 2025 Soreide Law Group, PLLC  |  All Rights Reserved