Investors potentially experienced losses due to securities broker Mark Gilbert Beesley [CRD: 5362689, Boston, Massachusetts], according to disclosures on FINRA BrokerCheck. Beesley was employed by Wood (Arthur W.) Company Inc. from August 24, 2021, to April 17, 2023, and previously worked for LPL Financial LLC from March 11, 2019, to November 4, 2020. Keep reading to learn more about the disclosures concerning Beesley.
Particularly, on October 17, 2024, FINRA issued Case No. 2023079291701, sanctioning Mark Beesley. FINRA alleged that Beesley refused to appear for testimony requested in connection with an investigation concerning whether he had engaged in undisclosed outside business activities (OBAs). Under FINRA Rule 8210, stockbrokers must comply with requests for information and testimony. However, despite FINRA’s formal request and communication with his lawyer, Beesley refused to appear.
As a result, FINRA found that Beesley violated both FINRA Rule 8210 and Rule 2010. Consequently, FINRA imposed a permanent bar, effectively prohibiting him from working in the securities industry in any capacity.
Are you looking for more information about Mark Beesley? If you incurred losses, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a possible recovery. Soreide Law Group has recovered losses for investors throughout the country, represents clients on a contingency fee basis, and advances all costs. Beesley and the brokerage firms he worked for deny accusations of sales practice violations.
Investors may have suffered financial harm by securities broker David Jay Betman [CRD: 1380281, West Conshohocken, Pennsylvania], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Betman has worked for Morgan Stanley since March 25, 2010, as a securities broker and since March 26, 2010, as a financial advisor. See the […]
Investors potentially experienced sales practice violations by securities broker Andrew Martz [CRD: 5118326, Southlake, Texas], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Andrew Martz worked for Western International Securities Inc. and Western International Securities from July 13, 2017, and July 14, 2017, respectively, through June 5, 2025, and has been registered with […]
Investors potentially incurred losses because of securities broker Richard Raymond Brown [CRD: 2541545, Valley Village, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brown worked for Lincoln Financial Advisors Corporation from December 19, 1997, to December 26, 2019, and has been associated with Arete Wealth Management LLC and Arete Wealth Advisors […]
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