We are Investigating Former Raymond James Broker Mark Tudor for “Selling Away”
At the Sonn Law Group, we are investigating claims related to former Raymond James broker Mark A. Tudor. If you lost money in a private placement investment promoted by Mr. Tudor, we want to talk to you right away. Please contact us today at (866) 827–3202 for a free initial consultation.
Mark Andrew Tudor (CRD #2842516) was previously registered as a securities broker. He was most recently employed at Raymond James Financial Services in Lake Mary, Florida (2014 to 2018). Before that, he was also a representative for Morgan Keegan & Company in Winter Park, Florida.
Barred Broker: Former Raymond James Representative Mark Tudor
In October of 2018, Mark A. Tudor was terminated by Raymond James Financial Services after allegations that he improperly introduced clients to investments away from the firm. This type of conduct is often referred to as ‘selling away’, and it is a violation of securities industry regulations. Under FINRA Rule 3270, registered representatives are required to disclose and get approval for outside business activities. In addition, the compliance department at Raymond James stated that this broker was unhelpful when interviewed regarding this issue.
After his discharge by Raymond James, the Financial Industry Regulatory Authority initiated its own investigation into the conduct of Mark A. Tudor. According to the FINRA, Mr. Tudor failed to respond to multiple requests for information from the agency. As of March 22nd, 2019, he has been barred from the securities industry.
Jeffrey R. Sonn is an investment fraud lawyer with extensive experience handling selling away claims. If you lost money after being sold a private placement investment by Mark Tudor, you may be eligible to recover financial damages. Contact us today for a free, strictly private review of your case.