FINRA records disclose that former Garden State Securities stockbroker Mark A. Lisser has two pending customer disputes , 5 prior customer disputes and a termination from employment.
- FINRA Case 15-02008– a customer of Global Arena Capital alleges unsuitable investments, churning, excessive use of margin and seeks damages of $61,458.
- FINRA Case 14-03824-a customer of Global Arena Capital alleges excessive trading, excess and improper use of margin and seeks damages of $109,000.
The prior customer disputes that have been resolved include:
FINRA case 14-3210 in which a customer of Global Arena Capital was paid $25,000 to resolve allegations that Lisser made unsuitable recommendations and excessive use of margin.
FINRA Case 14-0080- customer alleged churning, unsuitability, breach of fiduciary duty and other claims while Lisser was employed by Global Arena Capital Corp. That case was settled for $160,000.
Lisser was employed by Global Arena Capital from 11/2010-12/2014. Global Arena Capital was expelled by FINRA 1/2016. Lisser was last employed by Garden State Securities from 12/2014-4/2016. Lisser was discharged by Garden State Securities due to pending and historical customer complaints and is not currently registered with any broker dealer.
If you have questions about an account handled by Mark A. Lisser, call to speak with an experienced securities attorney.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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