Avantax Investment Services, Inc. broker Mark Bloom (CRD# 6933619) is accused of structured note losses. He has been registered with Avantax Investment Services, Inc. in Atlanta, Georgia, since 2021. He was registered with LPL Financial LLC in Atlanta, Georgia, from 2020 to 201, IFG Advisory, LLC in Atlanta, Georgia, from 2020 to 2021, and Edward Jones in Atlanta, Georgia, from 2018 to 2020.
Mark Bloom Customer Complaints
He has been the subject of two customer complaints, according to his CRD report:
May 2024. “Customer alleged the investments they purchased were not suitable.” The customer sought $160,000 in damages, and the case was settled for $100,000. The complaint was regarding structured notes, and it took place while he was registered with Avantax Investment Services, Inc.
February 2024. “Customer alleged he incurred a loss despite market conditions being relatively stable.” The customer sought $100,000 in damages, and the case was settled for $45,000. The complaint was regarding structured notes, and it took place while he was registered with Avantax Investment Services, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Avantax Investment Services, Inc. may be liable for investment or other losses suffered by Mark Bloom’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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