Mark Lewis Kaufman (Mark Kaufman) Fired by Pruco Securities, LLC – Goodman & Nekvasil P.A., May Recover Investor Losses
From 2013 until Mark Kaufman’s firing in 2014, Mark Kaufman was licensed with Pruco Securities, LLC. Mark Kaufman was subsequently licensed with Bonwick Capital Partners, LLC and LPS Capital LLC. Mark Kaufman is now licensed with Samuel A Ramirez & Co., Inc. According to FINRA’s records, Mark Kaufman was fired by Pruco Securities, LLC on September 5, 2014. Pruco Securities, LLC reported to FINRA that Mark Kaufman was accused of not disclosing outside business activities on Mark Kaufman’s Form U4 and accused of participating in a seminar with the public without prior written approval of Mark Kaufman’s supervising principal. Mark Kaufman reported to FINRA that Mark Kaufman was also accused of recommending a general security to a prospective customer, contrary to Firm policy.
FINRA reports that Mark Kaufman previously filed for Chapter 11 bankruptcy in 2009.
FINRA also reports that Mark Kaufman has an outstanding tax lien held against him by the IRS in the amount of $45,005.17.
If you lost any money on investments with Mark Kaufman, you may be able to recover your losses from Pruco Securities, LLC, Bonwick Capital Partners, LLC, Samuel A. Ramirez & Co., Inc. and/or LPS Capital LLC. This is because Pruco Securities, LLC, Bonwick Capital Partners, LLC, Samuel A. Ramirez & Co., Inc. and LPS Capital LLC had a duty to supervise Mark Kaufman.
If you lost money on investments with Mark Kaufman and believe that 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 Pruco Securities, LLC, Bonwick Capital Partners, LLC, Samuel A. Ramirez & Co., Inc. and/or LPS Capital LLC concerning Mark Kaufman’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 $300 million on behalf of victimized investors. If you lost money on investments with Mark Kaufman 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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