Erez Law is currently investigating Raymond James & Associates, Inc. broker Mark Rubin (CRD# 1936202) regarding unsuitable investment recommendations. He has been registered with Raymond James & Associates, Inc. in San Rafael, California, since 2016.
Mark Rubin Customer Complaints
He has been the subject of four customer complaints between 2002 and 2026, two of which were denied, according to his CRD report:
March 2026. “Client alleged advisor sold them an unsuitable investment, resulting in losses. Allegation activity dates: 2/1/2022 through 4/30/2025.” The customer is seeking $550,000 in damages, and the case is currently pending. The complaint was regarding promissory note losses.
June 2024. “Customer alleges FA sold certain stock that customer instructed FA not to sell and that FA then bought some back without consulting customer. Allegation Activity Dates: 2/8/24 – 6/28/24.” The case was settled for $30,750. The complaint was regarding stock losses.
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, Raymond James & Associates, Inc. may be liable for investment or other losses suffered by Mark Rubin’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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