Last Updated: March 2024 (Atlanta, GA)
Mark Bloom Investigation Summary
Here’s what you need to know about Atlanta, GA, stockbroker Mark Bloom:
- Name: Mr. Mark James Bloom
- Current Employer: Avantax Investment Services, Avantax Advisory Services (RIA)
- DBA: Resurgens Investments, Legacy Capital Advisors
- Previous Firms: LPL Financial, Edward Jones
- Function: Stock Broker/ Financial Advisor
- Aliases: Mark Bloom
- Primary Location: Atlanta, GA
- CRD 6933619
- Can Mark Bloom be sued in FINRA arbitration: Yes
- 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 Mark Bloom As Your Stockbroker?
In 2/2024 a customer of Avantax Investment Services alleged that Mark Bloom incurred a loss of $100,000 in structured notes. This dispute is currently pending.
Structured Products: Sometimes referred to as market-linked investments, Structured Products are pre-packaged investments whose performance is linked to an underlying asset, product or index. ( a single security, basket of securities, options, indicies, commodities, debt issuance, foreign currencies or derivatives). See this for FINRA’s Investor Insights “Understanding Structured Notes with Principal Protection”
Allegations of Broker Misconduct Against Mark Bloom
A customer of Mark Bloom has alleged the following wrongdoing in connection with the handling of customer accounts:
- Incurred a loss in structured notes despite market conditions being relatively stable.
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
[LEARN MORE]: See this for information on our other investigations involving Avantax brokers.
If you have suffered investment losses in an account handled by Mark Bloom, 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.
