Mark Julius Potocsny (also known as Mark Juluis Potocsny), of Madison, Connecticut, a stockbroker formerly registered with Morgan Stanley, was discharged as a stockbroker on April 14, 2021, founded on accusations of his unauthorized trading. According to Morgan Stanley, trades were made by Potocsny without him talking to customers and getting confirmation at the time of the trades.
Potocsny has been identified in two customer initiated investment related disputes regarding allegations of his wrongdoing. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that a customer initiated investment related complaint involving Potocsny’s conduct was settled for $9,900.00 in damages based upon accusations of unauthorized trading concerning mutual funds, stocks, and bonds by Potocsny when he was employed by AG Edwards Sons Inc.
On November 4, 2020, a customer filed an investment related complaint concerning Potocsny’s conduct in which the customer requested compensatory damages supported by allegations of unauthorized trading by Potocsny while he was registered with Morgan Stanley Smith Barney. The complaint alleges that common and preferred stock trades, as well as municipal and corporate debt trades, were made without the customer’s authorization between 2019 and 2020, resulting in damages.
Potocsny’s stockbroker and investment adviser representative registrations with Morgan Stanley have been terminated as of May 14, 2021. Since July 29, 2021, Potocsny has been employed by International Assets Advisory as a stockbroker. Since August 17, 2021, he has been employed by International Assets Investment Management LLC as an investment adviser representative.
