MARK STEWART BRODY is currently employed as a Broker and/or Investment Adviser at PLANNED FINANCIAL PROGRAMS, INC. located at 734 WALT WHITMAN ROAD, SUITE 301, MELVILLE, NY, 11747.
MARK STEWART BRODY has worked at PLANNED FINANCIAL PROGRAMS, INC. since August 01, 1990
Disclosure History
MARK STEWART BRODY has 1 Disclosure Event(s).
Date: March 06, 2009 Category: Customer Dispute Allegations: FAILURE TO MONITOR ACCOUNT,RECOMMENDATION OF UNSUITABLE SECURITIES AND OVER CONCENTRATION. 2007 THROUGH 2008 Damage Amount Requested: $39,000.00 Settlement Amount: $39,000.00 Broker Comment: CLAIMS AGAINST BRODY WERE WITHDRAWN. THE MATTER WAS SETTLED TO AVOID THE DISTRACTION AND EXPENSE OF LITIGATION. (THE SETTLEMENT AMOUNT WAS PAID BY REGISTERED INVESTMENT ADVISOR)
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