Mark S. Garfinkel, of Boca Raton, Florida, a stockbroker with Oppenheimer & Co. Inc., has been subject to a customer initiated investment related arbitration claim on February 18, 2015, based upon allegations that Garfinkel made misrepresentations to the customer concerning investments, and effected unsuitable investments in the customer’s account.
FINRA Public Disclosure reveals that Garfinkel has been subject to five additional events concerning allegations of misconduct. Specifically, on July 21, 1993, a customer initiated investment related arbitration claim was settled for $25,000.00 in damages based upon allegations that Garfinkel utilized the customer’s margin without authorization, and excessively traded in the customer’s account.
On September 5, 2002, another customer initiated investment related arbitration claim was settled for $95,000.00 in damages based upon allegations that Garfinkel effected transactions in the customer’s account which were violative of securities laws. Subsequently, on December 17, 2002, a customer initiated investment related arbitration claim was settled for $5,250.00 in damages based upon allegations that Garfinkel breached his contractual and fiduciary duties, negligently handled the customer’s account, and effected unsuitable investment transactions.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
