There are options for customers of Concorde Investment Services, LLC broker Mark Huber (CRD# 5976354) who suffered investment losses. Huber has been registered with Concorde Investment Services, LLC in Racine, Wisconsin since 2012.
Huber has been the subject of two customer complaints in 2020, according to his CRD report:
- December 2020. “Claim alleges breach of contract and warranties, violation of Indiana Securities Act, breach of fiduciary duty, and negligence misrepresentations and omissions, related to investment made in June of 2014.” The customer is seeking $32,000 in damages and the case is currently pending. The complaint was regarding real estate investment trust (REITs).
- November 2020. “Claim alleges violation of Illinois securities laws, breach of fiduciary duty, violation of FINRA Rule 2010, 2120, 2111, 2111.05a, 3110, negligence and negligent misrepresentations, and vicarious liability relating to investments made in January 2018.” The customer is seeking $150,000 in damages and the case is currently pending. The complaint was regarding direct investments and LP interests.
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, Concorde Investment Services, LLC may be liable for investment or other losses suffered by Huber’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.