Mark Joseph Glattly, of Beverly Hills, California, a stockbroker formerly registered with TD Ameritrade, Inc., has been named in a customer initiated investment related arbitration claim on January 30, 2017, in which the customer requested $855,000.00 in damages based upon allegations that the options strategy Glattly recommended was unsuitable for the customer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that on November 24, 2015, a customer initiated investment related civil action involving Glattly’s conduct was settled for $30,000.00 in damages based upon allegations that he breached his fiduciary duties to the customer, and negligently handled the customer’s investment account concerning options investments.
Glattly’s registration with TD Ameritrade, Inc. was terminated on July 16, 2015. Glattly later became associated with Bancwest Investment Services, Inc. on July 28, 2015; however, he was terminated on September 2, 2016, based upon allegations that he duplicated a customer’s signature to effect bond transactions.
Guiliano Law Group
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