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Francisco Marquez Allegedly Failed to Promptly Execute an Order

Francisco Marquez (CRD #: 5757207) has been fired by Raymond James Financial Services. This is according to his BrokerCheck record, accessed on December 13, 2023. Investors who have concerns should keep reading. 

On November 14, 2023, Raymond James Financial Services fired Francisco Marquez following allegations that he failed to follow firm policy with respect to the prompt execution of an order. 

FINRA Rule 5310

FINRA Rule 5310 requires brokers to promptly execute clients’ transactions according to their instructions. This rule also establishes that brokers must use reasonable due diligence to determine the best market for their client’s order. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 5310 also violate FINRA Rule 2010. 

Background Information 

Francisco Marquez has passed the following exams:

  • Series 66 Uniform Combined State 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 

During his 12 years of experience, he has registered with these five firms: 

  • Raymond James Financial Services (CRD #: 6694) 
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • Morgan Stanley (CRD #: 149777) 
  • J.P. Morgan Securities (CRD #: 79) 
  • Chase Investment Services (CRD #: 25574) 

Kurta Law Can Help 

If you have worked with Francisco Marquez and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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. Do not let securities fraud go unchecked. Start your recovery process today.

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