Marcus Boggs: SEC Charges Financial Advisor/Broker Marcus Boggs with Theft

Marcus Boggs: SEC Charges Financial Advisor/Broker Marcus Boggs with Theft | Goodman & Nekvasil P.A. May Recover Investor Losses

Marcus Boggs CRD #5055667

Marcus Boggs was a licensed financial advisor with Merrill Lynch from 2006 to 2018. According to Marcus Boggs’ CRD, Marcus Boggs was barred from the securities industry in April 2019. According to FINRA, Marcus Boggs failed to respond to FINRA request for information.

According to SEC Allegations:

On August 23, 2019, the Securities and Exchange Commission charged Marcus Boggs, an investment adviser representative at the Chicago office of a large financial services firm, with stealing more than $1.7 million from at least three of Marcus Boggs’ clients.

According to the SEC’s complaint, Marcus Boggs, without his clients’ knowledge or authorization, misappropriated Marcus Boggs’ clients’ money by selling securities in their advisory accounts and then transferring the proceeds to his personal credit card account. The complaint further alleges that from 2016 to 2018, Marcus Boggs made more than 200 illegal transfers from three advisory clients’ accounts to Marcus Boggs’ personal credit card account.

The SEC’s complaint filed in the Northern District of Illinois alleges that Marcus Boggs violated the antifraud provisions of Section 17(a) of the Securities Act of 1933, Section 10(b) the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940.

Clients of Marcus Boggs May Recover their Losses with Goodman & Nekvasil, P.A.

If you invested with Marcus Boggs, Goodman & Nekvasil, P.A. may help you. Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, has recovered more than $180 million dollars on behalf of victimized investors. 

All our cases are handled on a purely contingency fee basis by Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA. Kalju Nekvasil, Esq. has practiced in this area of the law for more than 35 years. 

There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

If you incurred investment losses with Marcus Boggs and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us. 

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