Last Updated: November 2023 (The Villages, Florida)
Marc Hallick Investigation Summary
Here’s what you need to know about The Villages, stockbroker Marc Hallick:
- Name: Mr. Marc Damon Hallick
- Current Employer: Raymond James & Assoc.
- Previous Firms: Wells Fargo Clearing Services, Morgan Stanley
- Function: Stock Broker/ Financial Advisor
- Aliases: Marc Hallick
- Primary Location: The Villages, FL
- CRD 4652410
- Can Marc Hallick be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $6.5 million
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Marc Hallick As Your Stockbroker?
In 11/2023 a customer of Raymond James filed a FINRA arbitration alleging that Marc Hallick deployed an unsuitable investment strategy involving short selling concentrated positions on margin and failed to explain material facts regarding risks of such a strategy. Damages of $6.5 million are sought in this currently pending matter.
Allegations of Broker Misconduct Marc Hallick
Customers of Marc Hallick have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to sell concentrated positions utilizing margin borrowing
- Failure to discuss risks of such a strategy
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 Marc Hallick, 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.
