Did you incur investment losses with Robert Marks? The Securities Law Firm of Menzer & Hill, P.A. is investigating claims involving Robert Marks of Cape Securities Inc. related to his alleged churning, excessive, and unauthorized trading.
Marks has two customer complaints on his record.
Fortunately, for those investors that incurred losses investing with Marks 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).