Published On: October 23, 2015

Stoltmann Law Offices is investigating Robert Marks, a broker with Cape Securities in New York. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, Marks has been the subject of two customer complaints, alleging that he violated securities laws such as making unsuitable investment recommendations, unauthorized trading and churning and excessive trading. One complaint claimed he speculatively traded in penny stocks in the customer’s account. Churning and excessive trading are against securities rules and regulations and are done only to generate large commissions for the broker.

Robert M. Marks was associated with Seaboard Securities in Florham Park, New Jersey from June 2000 until May 2001, Milestone Financial Services in Rocky Point, New York from April 2001 until August 2008, Gunnallen Financial in Rocky Point from August 2008 until October 2009 and Synergy Investment Group in Rocky Point from October 2009 until October 2011. He is currently registered with Cape Securities in Coram, New York and has been since September 2011.

If you would like to sue Robert Marks for investment losses, please call us at 312-332-4200 to speak to an attorney. We are securities attorneys who sue firms such as Cape Securities in the FINRA arbitration process, as the firm may be liable for investment losses. The call is free with no obligation and we take cases on a contingency fee basis only.

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If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

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