Investor Dispute About Mark Epps

Soreide Law Group is investigating possible investor claims against securities broker Mark Samuel Epps (CRD: 2185338, Bloomfield Hills, Michigan). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Broadstone Securities. Supposedly, one or more individuals claim that Epps breached a fiduciary duty and was negligent. Here is a brief summary of the disclosures about Epps.

Epps Discloses Breach Of Fiduciary Duty Allegations By Broadstone Securities Client

Specifically, a client of Broadstone Securities contested Mark Epps’ sales practices by filing FINRA Arbitration: 21-02611 on December 17, 2021. Allegedly, Epps breached a fiduciary duty and was negligent. It appears that Epps caused the client to sustain damages on alternative investments. Therefore, the client seeks compensatory relief from Broadstone Securities or Epps in this ongoing matter.

Michigan Securities Inc. Investor Accused Mark Epps Of Failure To Follow Instructions

Evidently, on October 29, 2008, a Michigan Securities Inc. client filed a complaint about Mark Epps. Namely, the client alleged that Epps failed to follow instructions. Because of this, the client allegedly sustained damages on mutual funds. Therefore, the client requested $13,000 in compensation from Michigan Securities Inc. or Epps. However, the client closed this dispute without resolving it.

Did Broadstone Securities Broker Epps Cause You To Experience Damages?

Have you experienced losses from investing with Mark Epps? If so, contact Soreide Law Group at (888) 760-6552 and talk with a securities lawyer about a potential recovery of your losses. Soreide Law Group, who has effectively recovered money for hundreds of investors across the United States, represents clients on a contingency fee basis and advances all costs. Epps and brokerage firms Epps worked for deny any and all allegations of sales practice violations.