Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 16, 2017 indicate that former Florida-based Oppenheimer & Company broker Mark Garfinkel has been the subject of several customer disputes is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Garfinkel (CRD# 711322).
Mark Garfinkel has spent thirty years in the securities industry and was most recently registered with Oppenheimer & Company in Boca Raton, Florida (2013-2016). Previous registrations include Raymond James & Associates in Jupiter, Florida; Morgan Keegan & Company in Jupiter, Florida; Morgan Stanley Smith Barney in Boca Raton, Florida; Citigroup Global Markets in Boca Raton, Florida; Morgan Stanley DW in Purchase, New York; Commonwealth Associates in New York, New York; Lehman Brothers in New York, New York; Prudential-Bache Securities; and First Investors Corporation. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received four customer complaints.
In 2016 a customer alleged Mark Garfinkel, while employed at Oppenheimer & Company, recommended unsuitable oil and gas master limited partnerships. The complaint settled for $70,000.
In 2012 a customer alleged Mark Garfinkel, while employed at Morgan Keegan & Company, made unsuitable recommendations, breached his fiduciary duty, acted negligently, and breached contract. The complaint settled for $5,250.
In 2002 a customer alleged Mark Garfinkel, while employed at Morgan Stanley DW, violated securities laws and/or regulations. The complaint settled for $95,000.
In 1993 a customer alleged he used margin without authorization and executed excessive trades. The complaint settled for $25,000.
If you have lost money investing with Mark Garfinkel, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.