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Mark Douglas Panfil of El Segundo California a stockbroker formerly registered with RBC Capital Markets LLC is the subject of a customer initiated investment related arbitration claim where the customer alleged that variable annuity trades were placed in the customer’s account between 2009 and 2016 that were neither authorized nor suitable for the customer. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-00497 (Feb. 13, 2018).

FINRA Public Disclosure additionally confirms that on April 17, 2006, a customer filed an investment related complaint pertaining to Panfil’s activities in which the customer requested $25,000.00 in damages based upon allegations that the customer was sold variable and fixed annuities that failed to serve the customers’ best interests.

Panfil’s registration with RBC Capital Markets, LLC was terminated on April 15, 2016. Since March 22, 2016, Panfil has been registered with Morgan Stanley.

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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.

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