Did you incur investment losses with Mark Hughes?
The Securities Law Firm of Menzer & Hill, P.A. is investigating claims involving Mark Hughes (“Hughes”) of Oppenheimer & Co Inc. related to his alleged excessive and unauthorized trading.
Hughes has 7 customer complaints and 1 regulatory action against him.
Fortunately, for those investors that incurred losses investing with Hughes may be able to recover those losses through the FINRA arbitration process.
Under FINRA rules and regulations, Broker-Dealers are responsible for supervising the actions of those advisors registered with their firm, and therefore may be held liable for the actions of their Broker(s).