On October 21, 1989 Mark Levine first became registered with a FINRA member firm. From April 1, 2010 until July 18, 2011 Mr. Levine was registered with LPL Financial in West Hartford, CT. He is no longer associated with any other FINRA member firm.
On September 12, 2012, Mark Levine and FINRA entered into a letter of acceptance, waiver and consent, known as an AWC (No. 2011028691301). According to the AWC, in or about 2010, while he was employed at LPL Financial, Mr. Levine lost a form that was signed by a customer and submitted a duplicate form to LPL Financial with a “copy and pasted” signature. Mr. Levine did this without the customer’s knowledge or approval. This conduct violated FINRA Rule 2010.
As a result of the foregoing activity, Mark Levine consented to a $5,000 fine as well as a one-month suspension from association with any FINRA member in any capacity. For more information on Mark Levine’s suspension of fine, please visit FINRA’s website.