Broker Investigation: Mark Tudor

Mark Tudor (CRD#: 2842516) is a former registered FINRA broker and investment advisor. From 2014 to 2018, Mr. Tudor was employed at Raymond James & Associates in Lake Mary, Florida. This broker has also been associated with Morgan Keegan & Company and Wachovia Securities.

On October 23rd, 2018, Marc Tudor was discharged by Raymond James & Company after evidence came to light indicating that he was introducing the firm’s customers to outside investment opportunities. Notably, in its termination of this broker, Raymond James also cited the fact that Mr. Tudor was not helpful in resolving the allegations against him when he was being interviewed by the firm’s legal representative.

Terminated Broker: Mark Tudor Formerly of Raymond James

Registered brokerage firms have an obligation to supervise the conduct of their representatives and to oversee transactions involving their customers. For their part, registered representatives must not engage in undisclosed private securities transactions (selling away), nor should they engage in undisclosed, unapproved outside business activities. The former is a violation of FINRA Rule 3280 and the latter is a violation of FINRA Rule 3270. Investors who have sustained losses as a result of a broker selling away or engaging in outside business transactions may be entitled to compensation for their damages.

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At Sonn Law Group, we are proud to fight for the rights and interests of investors. If you or your loved one sustained significant losses due to financial advisor or brokerage firm misconduct, please do not hesitate to reach out to us for a free review of your legal claim.

Disclaimer: This article contains opinions and NOT statements of fact in any way whatsoever. The information here is general information that should not be taken as legal advice. NO attorney-client relationship is established between you and our attorneys by reading this article. This article is attorney advertising and should not be used as a substitute for legal advice from a qualified securities lawyer.

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