Devin Born Subject of Regulatory Action Massachusetts

Devin Born (CRD #: 2275635), a broker registered with Lifemark Securities Corp., is facing a regulatory action in Massachusetts. This is according to his BrokerCheck record, accessed on September 5, 2023. Details are provided below. 

Regulatory Action 

On June 9, 2023, Massachusetts imposed sanctions and ordered Lifemark Securities to supervise Devin Born on a heightened basis for two years. This heightened supervision is to include the following: 

• Quarterly credit checks.
• Quarterly reviews of Devin Born’s credit report.
• Devin Born must provide a supervisor with a signed statement attesting that he does not have any new judgments, liens, or financial disclosure incidents. The statement must also attest he is current on all payments to satisfy unresolved debts. 
• Quarterly review of the Financial Notification to verify that he has made all required payments pursuant to any outstanding loans, judgments, liens, or other payment plans in a timely manner.
• On an annual basis, Devin Born must provide a supervisor with a statement of financial condition that includes personal assets, liabilities, monthly income, and monthly expenses. 

Tax Lien 

On September 22, 2015, Devin Born became the subject of a tax lien for $103,085.40. 

Background Information 

Devin Born has passed the following exams: 

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 
• Series 6 Investment Company Products/ Variable Contracts Representative Examination 
• Series 26 Investment Company Products/ Variable Contracts Principal Examination 

He is registered as a broker in 10 states and is a registered investment adviser in eight states. 

Devin Born has registered with the following firms: 

• Lifemark Securities (CRD #: 16204) 
• Comprehensive Capital Management (CRD #: 119890)
• Comprehensive Asset Management (CRD #: 43814) 
• Liberty Asset Management (CRD #: 142094) 
• Asset & Financial Planning (CRD #: 110709)
• Prime Capital Services (CRD #: 18334) 
• WMA Securities (CRD #: 32625) 
• John Hancock Distributors (CRD #: 468) 
• John Hancock Mutual Life Insurance Company (CRD #: 5181) 

Kurta Law Can Help

If you worked with Devin Born and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.