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.
The recent Chapter 11 bankruptcy filing by Inspired Healthcare Capital (IHC) has sent shockwaves through the senior living investment community. For many retirees and 1031 exchange participants, what was marketed as a stable, income-producing real estate opportunity has turned into a complex legal battle for recovery. If you invested in an IHC-sponsored Delaware Statutory Trust […]
Soreide Law Group is investigating potential investor claims involving NLCA VA Birmingham Realty DST, particularly where brokers or financial advisors may have improperly recommended this specific Delaware Statutory Trust offering. NLCA VA Birmingham Realty DST is a 1031 exchange investment vehicle that offered investors fractional interests in real estate through a private placement. Although it […]
Investors have reportedly disputed the sales practices of securities broker Nicholas Cross Ignatowski (also known as Nick Ignatowski) [CRD: 2409399, Milwaukee, Wisconsin], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ignatowski worked for LPL Financial LLC from August 20, 2013, to December 31, 2023. Investors are encouraged to continue reading […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com