MARK E MAREK
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/03/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Mark E. Marek (CRD No. 4794461 Respondent. DISCIPLINARY PROCEEDING No. 2009019349001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Registered representative Mark Marek made unsuitable investment recommendations to customer HM; made false and misleading representations regarding material facts to customer HM; sent written correspondence to customer HM that contained statements that were
11/02/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Mark E. Marek, CRD No. 4794461, Disciplinary Proceeding No. 2009019349001 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 2, 2012 Respondent. INTRODUCTION Disciplinary Proceeding No. 2009019349001 was filed on October 3, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Mark E. Marek submitted an Offer of
Reference 2009019349001data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4794461 |
Other names1
Also known as1
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