Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that Florida-based RM Stark & Company broker Thomas Marino has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Marino (CRD# 4438533).
Thomas Marino has spent 17 years in the securities industry and has been registered with RM Stark & Company in Delray Beach, Florida since 2012. Previous registrations include JW Cole Financial in Sarasota, Florida (2009-2012); Newbridge Securities in Boca Raton, Florida (2009); Summit Brokerage Services in West Palm Beach, Florida (2008-2009); Morgan Stanley & Company in Sarasota, Florida (2007-2008); Morgan Stanley DW in Sarasota, Florida (2005-2007); and AG Edwards & Sons in St. Louis, Missouri (2001-2005). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 2, 2001; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 3, 2001; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on December 9, 2005. He is a registered broker with four US states: California, Florida, New Jersey, and New York.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint, and he resigned from a former employer in connection to alleged rule violations.
In April 2019 a customer alleged Thomas Marino, while employed at RM Stark & Company, recommended inappropriate and unsuitable variable annuity investments. The customer is seeking $30,000 in damages in the pending complaint.
In 2012 he voluntarily resigned from JW Cole Financial in connection to allegations he “submitted business for variable annuities as new purchases” although they were actually annuity exchange transactions.
In 2006 a customer alleged Thomas Marino, while employed at Morgan Stanley DW, executed unauthorized transactions. The customer sought $26,000 in damages in the complaint, which was denied.
In 2005 a customer alleged Thomas Marino, while employed at AG Edwards & Sons, recommended and sold an unsuitable deferred variable annuity product. The complaint settled for more than $7,600.
If you or someone you know has a complaint regarding Thomas Marino, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.