According to a recent FINRA Disciplinary Action, Mark Foster (CRD #719105, Pasadena, California) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Foster failed to respond to requests from FINRA for information and documents and to appear and provide on-the-record testimony regarding allegations that he misappropriated more than $2 million in customer funds.
For the full case information, see FINRA Case #2014039867601.
According to his FINRA Broker Check Report, Foster was registered with Stern Fisher Edwards from December 2006 through May 2012.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee.
For a free consultation with a securities attorney, please call the firm’s Chicago office at 312/238-9650. For more information on The White Law Group, visit https://www.whitesecuritieslaw.com.