Marcus Duane Parker (Marcus Parker) Barred from Securities Industry, Formerly Licensed with Wells Fargo Clearing Services, LLC – Goodman & Nekvasil P.A., May Recover Investor Losses
Marcus Parker was licensed with Wells Fargo Clearing Services, LLC from 2008 until 2017. Marcus Parker was barred from the securities and investment banking industry on February 16, 2018. FINRA reports that Marcus Parker consented to the sanction and to the entry of findings that Marcus Parker refused to respond to FINRA’s requests for documents and information in connection with its investigation of Marcus Parker’s termination from his member firm. The findings stated that according to the firm’s Uniform Termination Notice for Securities Industry Registration (Form U5) filing, it terminated Marcus Parker’s registration for his failure to appear for an interview and be questioned about misappropriations from client accounts.
If you lost any money on investments with Marcus Parker, you may be able to recover your losses from Wells Fargo Clearing Services, LLC. This is because Wells Fargo Clearing Services, LLC had a duty to supervise Marcus Parker.
If you lost money on investments with Marcus Parker and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Wells Fargo Clearing Services, LLC concerning Marcus Parker’s conduct. 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.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Marcus Parker 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.
Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange