Mark Ketner
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Mark Ketner. If you suffered losses investing with Mark Ketner, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Previous Registration(s)
10/2002 – PRESENT MAXIM GROUP LLC (CRD# 120708) – WOODBURY, NY
10/1999 – 10/2002 INVESTEC ERNST & COMPANY (CRD# 266) – NEW YORK, NY
10/1998 – 10/1999 ROYCE INVESTMENT GROUP, INC. (CRD# 10494) – WOODBURY, NY
12/1994 – 11/1998 PATTERSON TRAVIS, INC. (CRD# 16540) – ENGLEWOOD, CO
FINRA expelled the firm in 06/2003
08/1994 – 11/1994 WESTFIELD FINANCIAL CORPORATION (CRD# 8143) – NEW YORK, NY
FINRA expelled the firm in 04/1996
05/1988 – 09/1994 HIBBARD BROWN & CO., INC. (CRD# 18246) – NEW YORK, NY
FINRA expelled the firm in 02/1996
02/1987 – 05/1988 SHERWOOD CAPITAL, INC. (CRD# 10474)
06/1983 – 01/1987 FIRST JERSEY SECURITIES, INC. (CRD# 6621)
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Mark Ketner and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com.
