Mark David Yadron (also known as Mark Lynn Yoder), of Prescott, Arizona, a stockbroker registered with Merrill Lynch Pierce Fenner Smith Incorporated, was the subject of a customer initiated investment related complaint that was settled on November 24, 2020, for $4,986.71 in damages based upon allegations that Yadron made unsuitable recommendations of mutual funds during the time that Yadron was associated with Merrill Lynch Pierce Fenner Smith Incorporated.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Yadron has been referenced in five other customer initiated investment related disputes concerning Yadron’s conduct while associated with securities broker dealers, including Merrill Lynch Pierce Fenner Smith Incorporated. On June 23, 2017, a complaint involving Yadron’s conduct was settled for $5,095.35 in damages based upon allegations that Yadron engaged in unauthorized trading in closed-end funds.
Yadron was also referenced in a complaint that was settled on June 23, 2017, for $2,825.66 in damages based upon allegations that Yadron engaged in unauthorized trading in mutual funds.
On August 12, 2019, another customer filed an investment related complaint involving Yadron’s conduct in which the customer requested $129,584.00 in damages based upon allegations that Yadron made unsuitable investment recommendations.
Yadron was associated with Merrill Lynch Pierce Fenner Smith Incorporated in New York, NY, as a stockbroker from March of 2013 to August of 2020, and associated with Merrill Lynch Pierce Fenner Smith Incorporated in Prescott, AZ, as an investment advisor representative from March of 2013 to August of 2020.
Yadron has been associated with Kestra Investment Services LLC in Prescott, Arizona, as a stockbroker since August 6, 2020, and associated with Kestra Private Wealth Services LLC in Prescott, Arizona, as an investment advisor representative since August 7, 2020.
