Investors might have sustained losses due to securities broker Mark Joel Rubin [CRD: 1936202, San Rafael, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rubin has worked for Raymond James Associates Inc. as a securities broker since March 24, 2016, and as a financial advisor since March 25, 2016. Investors are encouraged to continue reviewing the disclosures below to find out more about the client disputes involving Rubin.
Particularly, a client filed a complaint about Mark Rubin. Mainly, the client alleged that Rubin failed to follow instructions and engaged in unauthorized trading by selling stocks the client instructed him not to sell and later repurchasing some securities without consulting the client. Because of this, the client allegedly experienced damages linked to stocks. Consequently, on June 11, 2025, Raymond James Associates Inc. settled this matter by paying the client $30,750 in damages.
Notably, a client of Salomon Smith Barney disputed Mark Rubin’s sales practices, according to a complaint dated September 13, 2002. Allegedly, Rubin failed to perform due diligence in advising how to mitigate losses in an account with an aggressive risk tolerance. It appears that Rubin allegedly caused the client to incur damages relating to over-the-counter equities and stocks. Therefore, the client sought compensation from Salomon Smith Barney or Rubin in this matter. However, the firm denied this complaint.
Do you have concerns or questions regarding investments you made with Mark Rubin? If so, reach out to Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for clients located throughout the US. Also, the firm works on a contingency fee basis and advances all costs. Rubin and brokerage firms Rubin worked for deny allegations of sales practice violations.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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