Mark Andrew Tudor of Lake Mary Florida a stockbroker formerly employed by Raymond James Financial Services Inc. has been discharged by the firm on October 23, 2018 supported by accusations that Tudor steered customers towards making investments away from Raymond James and failed to be forthcoming with the firm when questioned about his activities.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Tudor has been identified in two additional customer initiated investment related disputes containing allegations of Tudor’s misconduct while employed with Wachovia Securities LLC. Specifically, on March 13, 2007, a customer filed an investment related complaint regarding Tudor’s activities where the customer requested $15,319.91 in damages founded on accusations that the customer had been placed into a Putnam Hartford Capital Manager variable annuity that was not suitable for the customer given the customer’s objectives of preserving principal.
Thereafter, on December 15, 2008, a customer filed an investment related complaint concerning Tudor’s conduct in which the customer sought $11,000.00 in damages based upon allegations that Tudor provided the customer with phony assurances regarding the safety of mutual fund investments selected for the customer’s mutual fund portfolio which the customer sustained losses from.
