Mark James Dickman Was Under Federal Investigation from the USPS OIG for Some Alleged Form of Improper Money Movement of a Client’s Funds
Mark James Dickman was under federal investigation from the USPS OIG for some form of improper money movement of a client’s funds, according to an Employment Separation Complaint under review by investor rights attorney Alan Rosca.
Said Complaint was filed by Independent Advisor Alliance (IAA) on December 20, 2018, according to Dickman’s FINRA BrokerCheck Report.
Mark Dickman also allegedly engaged in non-disclosure of beneficiary status within client trust, in violation of LPL Financial LLC’s policy, according to a second Employment Separation Complaint filed on December 20, 2018 by LPL Financial LLC, Dickman’s FINRA BrokerCheck Report notes.
Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Mark Dickman’s alleged improper money movement of a client’s funds. Investors who believe they may have lost money in activity related to Mark Dickman’s alleged improper money movement of a client’s funds are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.
Mark Dickman Discharged by Both LPL Financial and Independent Advisor Alliance
Mark Dickman was discharged by LPL and IAA after IAA reported that LPL informed them that the advisor was currently under federal investigation from the USPS OIG for some form of improper money movement of a client’s funds, according to Dickman’s BrokerCheck Report.
The case was initiated when LPL Financial informed FINRA that Dickman was currently under federal investigation from the USPS OIG, according to a Investigatory Disclosure Filed on his FINRA BrokerCheck Report on December 12, 2012.
Mark Dickman was registered with LPL Financial LLC in Crestview Hills, Kentucky from August 3, 2010 until December 27, 2018, FINRA states, and was also registered with U.S. Bancorp Investments, Inc. in Carrollton, Kentucky from December 1, 2001 through August 6, 2010, FINRA reports.
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.
Securities Lawyer Investigating
The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Mark Dickman’s alleged improper money movement of a client’s funds. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Investors who believe they lost money as a result of Mark Dickman’s alleged improper money movement of a client’s funds may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at email@example.com, or through the contact form on this webpage.