Last Updated: February 2026 — Littleton, CO
Here’s what you need to know about Littleton, CO stockbroker Mark C. Block:
- Name: Mark Clarence Block.
- Current Employer: None — this broker is not currently registered with a FINRA-member firm.
- Prior Firms:
VALIC Financial Advisors, Inc. (Lakewood, CO) — 01/2012–08/2023; Union Capital Company (Tucson, AZ) — 10/2009–02/2010; Peak Securities Corporation (Scottsdale, AZ) — 06/2005–11/2007. - Other Business Affiliations:
Empire Wealth Advisors (insurance brokerage; member/DBA; 2679 Main St., Ste. 254, Littleton, CO 80102; began 07/21/2023); Empire Luxury Real Estate (realtor; 8905 W 32nd Ave., Wheat Ridge, CO 80033; began 01/16/2024). - CRD number: 1715361.
- Stockbroker / Financial Advisor. Former FINRA-registered broker
- Can Broker be Sued in FINRA: Yes
- Sanctioned by Securities Regulators: Yes
- Discharged by a Prior Employer: Yes
- Current Customer Dispute Seeks Total Damages of: $50,000
If you’ve sustained damages from Mr. Block, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Mark C. Block As Your Stockbroker?
- Customer Dispute (Written Complaint): Received August 26, 2025 by VALIC Financial Advisors, Inc.; alleges misrepresentation related to the sale of a variable annuity; damages sought: $50,000; status: Denied by firm, customer has not pursued matter further.
- Earlier Customer Complaint: Received December 27, 2017; alleged misrepresentation/omissions in connection with an indexed annuity; $10,500 sought; denied on February 7, 2018.
- Regulatory Action (Final): Michigan — Consent Order dated July 17, 1990 (Case/Docket BD8157) against Block (then at Power Securities Corporation) for selling unregistered, non-exempt securities and acting while unregistered; sanctions included censure, $750 civil penalty, and three-year withdrawal from Michigan registration (with strict supervision required upon reapplication).
Allegations of Broker Misconduct Against Mark Clarence Block
- Unsuitability — Recommending investments inconsistent with a customer’s risk tolerance and objectives can violate FINRA Rule 2111 (Suitability) and, for retail customers, SEC Regulation Best Interest (Exchange Act Rule 15l-1).
- Breach of Fiduciary Duty — For retail brokerage recommendations, arbitrators often evaluate best-interest obligations under Reg BI (Rule 15l-1) alongside common-law fiduciary principles.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Mark Clarence Block, 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.