Raymond James & Associates, Inc. broker Marc Hallick (CRD# 4652410) is accused of stock losses. He has been registered with Raymond James & Associates, Inc. in The Villages, Florida, since 2019. He was registered with Wells Fargo Clearing Services, LLC in The Villages, Florida, from 2005 to 2019.
Marc Hallick Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
November 2023. “Claimants allege FA deployed an unsuitable investment strategy involving short selling concentrated positions on margin and failed to explain the material facts and risks of the strategy.” The customer is seeking $6,500,000 in damages, and the case is currently pending. The complaint was regarding common and preferred stocks, and it took place while he was registered with Raymond James & Associates, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Raymond James & Associates, Inc. may be liable for investment or other losses suffered by Marc Hallick’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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