The Pompano Beach, Florida-based, Soreide Law Group obtained the following information from FINRA’s website:
Mark Robert Holcombe (CRD #2901441, Pompano Beach, Florida)
was assessed a deferred fine of $10,000 and suspended by FINRA for nine months for allegedly participating in two separate private securities transactions involving a company for which he served as the chairman of the board of directors without providing prior written notice to his member firm.
FINRA’s findings stated that Holcombe sold two million shares of his own company stock, Trident Brands, Inc.(TDNT) to a third party for $100,000, and participated in the company’s sale of senior secured convertible debentures to the same third party for $2.3 million by executing the note purchase agreement on the company’s behalf.
The suspension is in effect from December 19, 2016, through September 18, 2017.
(FINRA Case #2015048236401)
According to FINRA’s BrokerCheck, Mark Robert Holcombe has been registered in the securities industry for 3 years and has been listed with 3 firms:
04/18/2014 - 12/22/2015 SOURCE CAPITAL - WESTPORT, CT
09/08/2011 - 04/13/2012 GLOBAL HUNTER SECURITIES LLC - NEW YORK, NY
09/28/2010 - 07/21/2011 MADISON WILLIAMS AND COMPANY - NEW YORK, NY
If you were a client of Mark Robert Holcombe and experienced losses due to his actions or recommendations, call the Pompano Beach, Florida-based Soreide Law Group for a no-cost consultation regarding the possibility of recovering your investment losses at: 888-760-6552.
Soreide Law Group operates on a contingency fee basis and we represent our clients nationwide before FINRA.
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