MARK MARKLAND

MARK MARKLAND is currently employed as a Broker and/or Investment Adviser at FIRST ALLIED SECURITIES, INC. located at 1230 ROSECRANS AVENUE, SUITE #610, MANHATTAN BEACH, CA, 90266.

MARK MARKLAND has worked at FIRST ALLIED SECURITIES, INC. since February 10, 2011

Disclosure History

MARK MARKLAND has 2 Disclosure Event(s).

Date: November 09, 2009
Category: Customer Dispute
Allegations: UNSUITABILITY FOR ALTERNATIVE INVESTMENTS SOLD BETWEEN 11/21/08 AND 6/26/09
Damage Amount Requested: $760,000.00
Settlement Amount: $250,000.00
Broker Comment: $250,000 WAS IN EXCHANGE FOR THE TRANSFER OF THE CLIENT'S CLEARWATER 2008 NOTE PROGRAM INVESTMENT OF $200,000.

Date: December 12, 2003
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES MISREPRESENTATION IN THE SALE OF A VARIABLE LIFE INS POLICY PURCHASED IN 1996.
Damage Amount Requested: $18,209.00

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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