It appears that securities broker Mark Huber (CRD#: 5976354, Racine, Wisconsin) is involved in disputes alleging sales practice violations. Evidently, Huber joined Concorde Investment Services as a securities broker in March 2012. He also became a financial advisor there in July of 2013. Since then, at least two investor disputes have surfaced, with allegations against Huber including breach of fiduciary duty and negligence. Here’s more about these disclosures and how a securities lawyer could help you possibly recover investment losses due to sales practice violations.
Notably, a client of Concorde Investment Services disputed Huber’s sale of a real estate investment trust (REIT). First of all, the client dispute alleges the breach of warranties and the violation of Indiana Securities Act. Supposedly, Huber acted with negligence and in breach of fiduciary duty concerning REITs. Not only that, but the client alleges misrepresentation and omissions. Allegedly, the client sustained damages by investing in the REIT. For this reason, Concorde Investment Services opted to settle this matter by making a $14,999 payment to the client.
In addition, a client of Concorde Investment Services disputed Huber’s sales practices. Notably, the client alleged that Huber or Concorde Investment Services violated securities laws and FINRA rules concerning suitability. Next, the client contends that Huber negligently misrepresented information and breached a fiduciary duty concerning DPPs or LPs. Evidently, Concorde investment Services settled the allegations of sales practice violations in July 2021 by agreeing to make an $80,000 payment to the client.
Did Huber cause you to incur investment losses? If so, call Soreide Law Group at (888) 760-6552 and speak with an experienced securities lawyer about a potential recovery. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The firm has recovered compensation for hundreds of United States investors who experienced damages from their financial advisors or securities brokers. Please note that Huber denies all allegations of his sales practice violations.
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com