Thomas Marino, previously with R.M. Stark & Co., Barred by FINRA

Have you lost money with financial advisor Thomas Marino?  The law firm of Israels & Neuman is investigating allegations made about Thomas John Marino from Delray Beach, Florida.  FINRA (the Financial Industry Regulatory Authority) barred Marino from the securities industry after Marino failed to respond to its investigation.   FINRA was investigating Marino after he was alleged to have misused money from a senior investor.

Thomas Marino was a financial advisor and registered representative of R.M. Stark & Co. from December 2012 to June 2019.  He worked in a branch office in Delray Beach, Florida.  Marino has been the subject of three customer complaints and was fired by a previous firm in 2012. He also worked with Capstone Financial.

Brokerage firms like R.M. Stark & Co. have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including Florida. Attorney David Neuman is licensed to practice law in Florida.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view:  Marino, Thomas FINRA AWC

Click to view:  Marino, Thomas BrokerCheck 7.19.19

If you lost money with Thomas Marino or R.M. Stark & Co., please CONTACT US at 720-599-3505 for a free evaluation of your case.