South Carolina Regulators Seek to Take Securities License of Mark Hotton

South Carolina Regulators Seek to Take Securities License of Mark Hotton 150 150 Robert Rex, Esq.

June 23, 2015- Columbia, South Carolina

The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry.

In 2013 Hotton was permanently barred from the securities industry by FINRA in FINRA Disciplinary Proceeding 2009017408101, which alleged that Hotton improperly used and converted nearly $6 million of customer funds while employed by Oppenheimer & Co. , Inc. The FINRA proceeding also alleges that Hotton forged and falsified numerous company documents to perpetuate is scheme, made unsuitable recommendations to customers and churned accounts.

Hotton has numerous customer complaints seeking damages on his official FINRA records, including an arbitration award of $2.35 million in damages to one customer.

Hotton was most recently registered as follows:                                2/2012-5/2012

  • Alexander Capital LP                                         9/2010-3/2012
  • American Capital Partners                            1/2009-8/2010
  • Oppenheimer & Co.                                           11/2005-2/2009

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 


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