Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 30, 2018 indicate that Wisconsin-based Robert W. Baird & Company broker/adviser Mark Falci is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Falci (CRD# 3010935).
Mark Falci has spent 19 years in the securities industry and has been registered with Robert W. Baird & Company in Milwaukee, Wisconsin since 1998. He was previously registered with Painewebber in Weehawken, New Jersey (1998). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 22, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 15, 1998; and Series 7 (General Securities Representative Examination), which he obtained on April 8, 1998. He is a registered broker and investment adviser with 27 US states and territories and with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, Mark Falci has received one pending customer complaint.
In November 2017 a party of customers alleged Mark Falci, while employed at Robert W. Baird & Company, made unsuitable investments in their accounts. The customers are seeking $2,800,000 in damages in the pending complaint.
If you or someone you know has a complaint regarding Mark Falci, call the attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window by law to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.