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Investigation of Independent Financial Group, LLC Broker Mark Rothstein

Posted on Monday, July 12th, 2021 at 6:31 pm    

Independent Financial Group

Were you the victim of Independent Financial Group, LLC broker Mark Rothstein (CRD# 1084659)? Rothstein has been registered with Independent Financial Group, LLC in El Segundo, California since 2013. Prior to that, Rothstein was registered with Independent Financial Group, LLC in San Diego, California, Purshe Kaplan Sterling Investments in El Segundo, California, Tri-star Financial in El Segundo, California, Centaurus Financial, Inc. in El Segundo, California, Centaurus Financial, Inc. in El Segundo, California, Mr. Money Talks in El Segundo, California, Harmoney Financial Advisors, LLC in Los Angeles, California, and LPL Financial Corporation in El Segundo, California, when he was terminated regarding, “Failure to follow firm policy regarding advertising review and outside business activities.”

Rothstein has been the subject of five customer complaints between 2008 and 2021, according to his CRD report. The most recent complaint is regarding: 

April 2021. “Alleges investments were overconcentrated in non-traded REITs and that the Variable Annuity was not suitable.” The customer is seeking $100,000 in damages and the case is currently pending. The complaint was regarding variable annuities and real estate investments trusts (REITs). 

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, Independent Financial Group, LLC may be liable for investment or other losses suffered by Rothstein’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.