Last Updated: November 2023 (Huntington Station, NY)
Mark Goetz Investigation Summary
Here’s what you need to know about Huntington Station, NY, stockbroker Mark Goetz:
- Name: Mr. Mark Phillip Goetz
- Current Employer: Not currently registered with FINRA
- Previous Firms: Network 1 Financial Securities, Midamerica Financial Services
- Function: Stock Broker/ Financial Advisor
- Aliases: Michael Goetz
- Primary Location: Huntington Station, NY
- CRD 1559358
- Can Michael Goetz be sued in FINRA arbitration: Yes
- Sanctioned by regulators: Yes
- Highest Settlement or Award: $80,000
- Pending Customer Dispute Seeks Damages of $420,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Mark Goetz As Your Stockbroker?
A customer of Network 1 Financial Securities filed a FINRA arbitration in 9/2020 alleging that Mark Goetz made unsuitable recommendations, breached his fiduciary duty and committed securities fraud. The customer is seeking $420,000 in this pending matter.
Goetz discloses settlement of three disputes with customers of Continental Broker Dealers, a prior employer.
In 2005 Michael Goetz was sanctioned and fined $16,950 by Missouri securities regulators for failure to timely report customer complaints.
Allegations of Broker Misconduct Against Mark Goetz
Customers of Michael Goetz have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
- Fraud
- Breach of Fiduciary Duty
- Unauthorized Trading
- Failure to Execute
- Misrepresentation
- Excessive Trading
- Violation of Florida Securities Protection Act
- Violation of Pennsylvania Consumer Protection Laws
- Excessive Commissions
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 Michael Goetz, 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.
