Mark Yadron (CRD #: 1520648), a broker registered with Kestra Investment Services, has received a new investor complaint, according to his BrokerCheck record, accessed on December 1, 2020. Mr. Yadron has 7 other disclosures on his record, which is a relatively high number – just under 8% of brokers have any disclosures on their records.
On October 9, 2020, a client alleged that Mark Yadron made unsuitable investment recommendations. The dispute is pending.
On August 12, 2019, a client alleged that Mr. Yadron made unsuitable investment recommendations. The client sought $129,584, but the dispute was denied by the firm without entering into arbitration.
On September 4, 2018, Mr. Yadron became the subject of a tax lien for $60,065.
On February 3, 2017, a client alleged that Mark Yadron executed unauthorized trades during August 2016. The client sought $5,095.35; the dispute settled for $5,095.35.
On December 13, 2016, clients alleged that Mark Yadron executed unauthorized trades. The client sought $8,983.26; the dispute settled for $2,825,66.
On June 17, 2000, a client alleged that Mr. Yadron sold securities without authorization. The dispute settled for $5,199.
Mark Yadron has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 31 Futures Managed Funds Examination, the Series 7 General Securities Representative Examination, the Series 52 Municipal Securities Representative Examination, Series 10 General Securities Sales Supervisor – General Module Examination, and the Series 9 General Securities Sales Supervisor – Options Module Examination. He is a registered broker in Arizona, California, New York, South Dakota, and Wisconsin. He is a registered investment adviser in Arizona.
Mark Yadron has worked in the securities industry for 24 years. Aside from his current registrations with Kestra Investment Services (CRD #: 42046) and Kestra Private Wealth Services (CRD #: 155193), Mr. Yadron has worked at five other firms:
- Merrill Lynch, Pierce, Fenner, & Smith (CRD #: 7691)
- Morgan Stanley (CRD #: 149777)
- Morgan Stanley & Co. (CRD #: 8209)
- Morgan Stanley DW Inc. (CRD #: 7556)
- Olde Discount Corporation (CRD #: 5979)
If Mark Yadron was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.