Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 13, 2017 indicate that former Florida-based RBC Capital Markets broker/adviser Marc Friedson has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Friedson (CRD# 1178838).
Marc Friedson has spent 32 years in the securities industry and was most recently registered with RBC Capital Markets in West Palm Beach, Florida (2009-2016). Previous registrations include JB Hanauer & Company in West Palm Beach, Florida (2005-2009); Citigroup Global Markets in New York, New York (2001-2005); JB Hanauer & Company in Parsippany, New Jersey (1985-2001); Shearson Lehman Hutton (1988); and Prudential-Bache Securities (1984-1985). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received three customer complaints and two pending customer complaints.
In August 2017 a customer alleged Marc Friedson, while employed at RBC Capital Markets, recommended unsuitable investments in Puerto Rico bonds and Linn Energy. The customer is seeking between $100,000 and $500,000 in damages in the pending complaint.
In June 2016 a customer alleged Marc Friedson, while employed at RBC Capital Markets, recommended investments that led to an over-concentration in the energy sector and Puerto Rico bonds. The customer is seeking $180,000 in damages in the pending complaint.
In 2005 he was terminated from his position at Smith Barney following allegations he failed to follow proper procedures in connection to order execution.
In 2001 a customer alleged Marc Friedson, while employed at JB Hanauer & Company, recommended unsuitable corporate bond investments. The complaint settled in 2002 for $287,500.
In 2001 a customer alleged he, while employed at JB Hanauer & Company, recommended unsuitable investments and executed unauthorized trades. The complaint settled in 2003 for $50,000.
In 1995 a customer alleged he, while employed at JB Hanauer & Company, made an unsuitable investment recommendation. The complaint settled for more than $14,900.
If you or someone you know has complaints regarding Marc Friedson, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.