Mark Alan Kemp of Corpus Christi, Texas, a stockbroker currently registered with McNally Financial Services Corporation, is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $157,600.00 in damages based upon allegations that Kemp made unsuitable recommendations in connection with the sale of reverse convertible securities when Kemp was associated with McNally Financial Services Corporation. FINRA Arbitration No. 22-00728 (April 10, 2022).
FINRA Public Disclosure reveals that Kemp has been identified in eleven total customer initiated investment related disputes concerning Kemp’s conduct while associated with securities broker dealers, including McNally Financial Services Corporation. Kemp is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $100,000.00 in damages based upon allegations that Kemp made misrepresentations, breached a fiduciary duty, and defrauded the customer at McNally Financial Services Corporation. FINRA Arbitration No. 21-01067 (May 4, 2021).
On July 20, 2021, a customer filed an arbitration claim involving Kemp’s activities in which the customer requested $370,006.75 in damages based upon allegations that Kemp breached a fiduciary duty, acted negligently, made misrepresentations, and defrauded the customer with regard to the recommendation and sale of DDPs and mutual funds when Kemp was associated with McNally Financial Services Corporation. FINRA Arbitration No. 21-01777.
