Mark Samuel Epps of Bloomfield Hills, Michigan, a stockbroker registered with Michigan Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensation based upon allegations that Epps violated FINRA rules, was negligent, and breached his fiduciary duties to the customer in connection with the recommendation and sale of alternative investments during the time that Epps was associated with Michigan Securities Inc. Financial Industry Regulatory Authority (FINRA) Arbitration No. 21-02611 (December 17, 2021).
This is not the first time that Epps has been referenced in a customer initiated investment related dispute concerning Epps’ conduct in the securities industry. FINRA Public Disclosure shows that Epps was also referenced in a customer initiated investment related complaint filed on October 29, 2008, in which the customer requested $13,000.00 in damages based upon allegations of a delayed distribution from the customer’s investment account by Epps when he was associated with Michigan Securities Inc.
Epps’ registration with Michigan Securities Inc. was terminated on July 15, 2020. Epps has been registered with Ausdal Financial Partners Inc. since September 9, 2022.
