Robert Marquez Barred Following FINRA Probe

Soreide Law Group is looking into potential claims on behalf of individuals who invested through Robert Emmett Marquez, also known as Bob Marquez [CRD: 2266269, Smithtown, New York], given FINRA’s recent sanctions against the broker. Marquez was previously registered with Investment Network Inc. from January 4, 2017, to November 6, 2023. Here’s more about FINRA’s regulatory action against Marquez.

FINRA Bars Marquez For Refusing To Testify In Pre-IPO Sales Investigation

On November 6, 2023, FINRA issued Letter of Acceptance, Waiver, and Consent No. 2022074096803, sanctioning Robert Marquez for violations related to his refusal to provide on-the-record testimony. Specifically, FINRA's investigation focused on Marquez's involvement in the sales of pre-IPO private placement offerings. As a result of his refusal to testify, Marquez faced a permanent bar from associating with any FINRA member firm in any capacity.

Robert Marquez Discharged For Regulatory Violations

Investment Network Inc., based in Smithtown, New York, terminated its association with Robert Marquez on November 6, 2023. The discharge followed Marquez's submission of a Letter of Acceptance, Waiver, and Consent (AWC) to FINRA, in which he agreed to a permanent bar from the industry. The allegations centered around Marquez's refusal to detail his sales of pre-IPO private placement offerings.

Seeking Recovery For Losses Due To Robert Marquez?

Did you experience damages because of securities broker / financial advisor Robert Marquez? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Marquez and brokerage firms he worked for deny accusations of sales practice violations.