MARK ANDREW PHILLIPS is currently employed as a Broker and/or Investment Adviser at MID ATLANTIC CAPITAL CORPORATION located at 4449 EASTON WAY, 2ND FLOOR, COLUMBUS, OH, 43219.
MARK ANDREW PHILLIPS has worked at MID ATLANTIC CAPITAL CORPORATION since April 19, 2013
Disclosure History
MARK ANDREW PHILLIPS has 2 Disclosure Event(s).
Date: January 04, 2016 Category: Customer Dispute Allegations: Fairly non-specific customer complaint request refund for poor portfolio performance over a very long period (2006-2015). Registered Representative (RR) was with another Broker Dealer (UBS/Wells Fargo) for the vast majority of this time frame, and believes the complaint is related mostly to around 2008. Client request refund of management fees and also that a 3rd party manager and RR split his alleged losses during that time. RR believes customer claims are completely without merit and claims were denied and refused in correspondence with customer.
Date: October 09, 1998 Category: Customer Dispute Allegations: CLIENTS ALLEGED THAT THEIR INSTRUCTIONS FORLIQUIDATING THEIR ACCOUNTS WERE NOT FOLLOWED. STOCKS ANDTREASURY BONDS. ALLEGED DAMAGES UNSPECIFIED Broker Comment: THE CLIENT'S CLAIM WAS DENIED. THERE WERE NOOPTIONS OR COMMODITIES INVOLVED.NOT PROVIDED
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