Marc S. Steinberg of Boca Raton Florida is a stockbroker formerly registered with Dawson James Securities, Inc. who is the subject of customer initiated investment related complaint in which the customer sought $16,833.18 in damages supported by accusations that unsuitable equity transactions had been effected in the customer’s account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Steinberg has been referenced in three additional customer initiated investment related disputes that pertain to allegations of Steinberg’s improper conduct while employed with Gilford Securities and Joseph Stevens & Company, Inc. Specifically, on August 15, 1998, a customer initiated investment related complaint concerning Steinberg’s conduct was resolved for $16,406.83 in damages founded on accusations that the customer’s instructions to sell holdings were not followed.
On April 18, 2002, another customer filed an investment related complaint regarding Steinberg’s activities where the customer requested $20,000.00 in damages supported by allegations of failure to execute and poor advice relating to the customer’s over-the-counter equity holdings. Thereafter, a customer was awarded $7,300.00 in damages according to an arbitration claim in which Steinberg was found liable on the customer’s claims of negligence, misrepresentation, unsuitability and breach of fiduciary duty relating to the customer’s Black Diamond Fund investments. FINRA Arbitration No. 07-00611 (Nov. 27, 2007).
Steinberg’s employment with Dawson James Securities, Inc. was terminated on June 2, 2016. Since June 1, 2016, he has been registered with Westpark Capital, Inc.
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