Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 28, 2019 indicate that Illinois-based RBC Capital Markets broker/adviser Martin Hare has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hare (CRD# 2194612).
Martin Hare has spent 27 years in the securities industry and has been registered with RBC Capital Markets in Oakbrook Terrace, Illinois since 2017. Previous registrations include UBS Financial Services in Oakbrook, Illinois (2010-2017); Merrill Lynch in La Jolla, California (2004-2010); Wells Fargo Investments in San Francisco, California (2002-2004); UBS Painewebber in Weehawken, New Jersey (1999-2002); Dean Witter Reynolds in Purchase, New York (1996-1999); Mesirow Financial in Chicago, Illinois (1995-1996); Everen Securities in St. Louis, Missouri (1993-1995); Mesirow Financial in Chicago, Illinois (1992-1993); and Chatfield Dean & Company in Greenwood Village, Colorado (1991-1992). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 3, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 21, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on May 16, 2008; and Series 7 (General Securities Representative Examination), which he obtained on December 19, 1991. He is a registered broker and investment adviser with 20 US states and territories: Alaska, Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nevada, New Jersey, Pennsylvania, South Carolina, Texas, Washington, and Wisconsin.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint.
In December 018 a customer alleged Martin Hare, while employed at UBS Financial Services, misrepresented material facts regarding the tax liability associated with an annuity surrender, violated Illinois securities law, breached his fiduciary duty, acted negligently, failed to supervise, and violated FINRA rules. The customer is seeking $153,749 in damages in the pending complaint.
In 2010 a customer alleged Martin Hare, while employed at Merrill Lynch, recommended unsuitable mutual fund investments. The customer sought $30,000 in damages in the complaint, which was denied.
In 1999 a customer alleged Martin Hare, while employed at Dean Witter Reynolds, misrepresented material facts related to investments in Citicorp preferred stock and Philadelphia Authority preferred stock. The complaint settled for $6,500.
If you have lost money investing with Martin Hare, call Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited by law, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.