Last Updated: December 2023 (Fort Myers, FL)
Eric Marvin Investigation Summary
Here’s what you need to know about Fort Myers, FL, advisor Eric Marvin:
- Name: Mr. Eric Matthew Marvin
- Current Employer: M&M Wealth Management (RIA), not currently registered with FINRA
- DBA: Health & Wealth Co.
- Previous Firms: J.P. Turner & Co., Merrill Lynch Pierce Fenner & Smith
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Eric Marvin
- Primary Location: Fort Myers, Florida
- CRD 4856310
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $100,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Eric Marvin As Your Stockbroker?
A customer of M&M Wealth Management LLC seeks damages of $100,000 and alleges that Eric Marvin exposed their accounts to too much risk and that they should not have experienced any losses during 2022. They want to be made whole back to 12/31/2021 account valuations.
Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer. FINRA Rule 2111- suitability
Allegations of Broker Misconduct Against Eric Marvin
A customer of Eric Marvin has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation
- Exposed accounts to too much risk
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Eric Marvin, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
