Investor Alert > Mark Tudor— Alleged Investments away from His Member Firm, Raymond James
Posted Dec 4, 2018
by Alan Rosca

Mark Tudor— Alleged Investments away from His Member Firm, Raymond James

Mark Andrew Tudor Allegedly Terminated by Raymond James for Introducing Clients to Investments away from the Firm without Approval

Mark Tudor was reportedly terminated by his member firm Raymond James for allegedly introducing clients to investments away from the firm without approval and was not helpful when being interviewed by firm counsel, according to an Employment Separation after Allegations Action filed on his FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca.

The aforementioned dispute was filed on October 23, 2018, FINRA states.

Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to Mark Tudor’s alleged introduction of investments away from his member firm without approval. Investors who believe they may have lost money in activity related to Mark Tudor’s alleged introduction of investments away from his member firm without approval are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Mark Tudor Has 5 Disclosures on His FINRA BrokerCheck Report, & Has 21 Years of Experience in the Securities Industry with 6 Different Firms

Mark Tudor was registered with Raymond James Financial Services, Inc in Lake Mary, FL from June 13, 2014 until October 31, 2018, and with Raymond James & Associates, Inc. in Winter Park, FL from February 13, 2013 until June 17, 2014, FINRA notes.

Mark Tudor has also worked for the following firms:

Morgan Keegan & Company, Inc., Winter Park, FL — March 13, 2009 until February 13, 2013
Wachovia Securities, LLC, Orlando, FL — October 1, 2000 until March 17, 2009
First Union Brokerage Services, Inc., Charlotte, NC — December 19, 1997 until October 1, 2000
Chatfield Dean & CO., Inc, Greenwood Village, CO — January 17, 1997 until October 20, 1997

Mark Tudor has 5 disclosures on his FINRA BrokerCheck Report.

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 or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.

Securities Lawyer Investigating

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Mark Tudor’s alleged introduction of investments away from his member firm without approval. 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 Tudor’s alleged introduction of investments away from his member firm without approval may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

Contact us. All evaluations are free

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

Contact us at 888‑998‑0530 or through the contact form on this page.
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