Articles Tagged with marcus parker

AdobeStock_199789587-300x200The Financial Industry Regulatory Authority (FINRA) recently barred Marcus D. Parker, from the industry. Marcus Parker allegedly failed to respond to a FINRA investigation against him. FINRA was investigating him for misappropriating funds from client accounts, and other things. At the time, Parker was associated with Wells Fargo in Santa Fe, New Mexico. Wells Fargo may be liable for investment losses, because the firm had a duty to reasonably supervise Marcus Parker while he was registered there. Because it did not, we may be able to help you bring a claim against Wells Fargo for failing to supervise.
Marcus Duane Parker, according to online, FINRA records, was previously registered with Dean Witter Reynolds, Thomson McKinnon Securities, Prudential Securities, Painewebber, Salomon Smith Barney, Merrill Lynch in Santa Fe, New Mexico from September 2001 until September 2008, and Wells Fargo in Santa Fe from September 2008 until December 2017. He has one customer dispute against him alleging suitability, and one regulatory matter. He has been permanently barred from the industry. Please call our Chicago-based offices today for a free consultation with an attorney about your options. Attorneys are standing by to take your call. There is no obligation.

AdobeStock_112465076-1-300x164According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Marcus Parker was permanently barred from the industry. Parker, a former broker with Wells Fargo, failed to respond to a FINRA investigation against him. This results in a permanent bar from the industry. According to his online, public FINRA BrokerCheck report, Parker was previously registered with Dean Witter Reynolds, Thomson McKinnon Securities, Prudential Securities, Painewebber Inc., Salomon Smith Barney, Merrill Lynch and Wells Fargo in Santa Fe, Mexico from September 2008 until December 2017. He has one customer dispute against him, alleging suitability. He has been permanently barred from the industry. You may be able to bring a claim against Wells Fargo in the FINRA arbitration forum on a contingency fee basis, which means we only make money if you recover yours. The firm had a duty to reasonably supervise Parker while he was employed there.

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