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.
