Marc Frederick Korsch (CRD #5525226) Has Regulatory and Customer Dispute Disclosures on FINRA BrokerCheck
Marc Frederick Korsch (CRD #5525226) has been the subject of disclosure events, which have recently been reported on his FINRA BrokerCheck report. According to Marc Frederick Korsch’s FINRA BrokerCheck report accessed on January 19, 2026, Marc Frederick Korsch has been the subject of one regulatory event, 64 customer disputes, one criminal disclosure, and five judgment/lien disclosures.
BrokerCheck link: BrokerCheck
BrokerCheck report: BrokerCheck Report (PDF)
Regulatory Action(s)
Marc Korsch FINRA BrokerCheck report reflects one regulatory action disclosure.
On December 1, 2021, FINRA initiated a regulatory action alleging that Marc Korsch failed to respond to FINRA requests for information. The disclosure reflects that the matter became final and, on March 4, 2022, FINRA ordered a permanent bar from association with any FINRA member in all capacities.
Investor Disputes / Customer Complaints
Marc Korsch FINRA BrokerCheck report reflects 64 customer dispute disclosures. Two examples are below:
On December 30, 2025, a customer alleged that Marc Korsch breached a fiduciary duty. The product type listed on the disclosure is Debt-Corporate, and the alleged damages were reported as $0.00 (with the disclosure noting the damages would be less than $5,000). The matter is pending and reflects a FINRA arbitration filing (Docket/Case #25-02838).
On November 19, 2025, a customer alleged that Marc Korsch recommended an unsuitable, high-risk, illiquid investment. The product type listed on the disclosure is Debt-Corporate, and the alleged damages are $100,000.00. The matter is pending and reflects a FINRA arbitration filing (Docket/Case #25-02450).
In addition to these examples, Marc Korsch FINRA BrokerCheck report reflects 62 additional customer dispute disclosures.
Criminal Charges
Marc Korsch FINRA BrokerCheck report reflects one criminal disclosure. A summary of the disclosure is below:
On July 30, 1998, Marc Korsch was charged with unauthorized use or possession of a driver’s license (felony). The disclosure reflects the charge was later reduced to a misdemeanor and dismissed. The disclosure also includes a broker comment stating the matter involved the use of false identification.
Judgment / Lien
Marc Korsch FINRA BrokerCheck report reflects five judgment/lien disclosures. Two examples are below:
On April 20, 2021, a tax lien in the amount of $47,975.84 was filed by the Internal Revenue Service. The disclosure reflects the lien is outstanding and was filed in Sarasota, Florida (Sarasota Clerk of Circuit Court; Docket/Case #2021071612).
On March 23, 2021, a tax lien in the amount of $392,011.65 was filed by the Internal Revenue Service. The disclosure reflects the lien is outstanding and was filed in Sarasota, Florida (Sarasota Clerk of Circuit Court; Docket/Case #2021050477).
In addition to these examples, Marc Korsch FINRA BrokerCheck report reflects three additional judgment/lien disclosures.
Rule summary #1: FINRA Rule 8210
FINRA Rule 8210 authorizes FINRA to require member firms and associated persons to provide information, testimony, and permit the inspection and copying of books and records in connection with examinations and investigations. A failure to comply with a Rule 8210 request can lead to disciplinary action.
Rule summary #2: FINRA Rule 9552
FINRA Rule 9552 is part of FINRA’s expedited proceeding rules and addresses failures to provide required information or keep information current. The rule permits FINRA to issue a written notice and, if corrective action is not taken within the specified timeframe, to impose a suspension of association.
Why this Matters to Investors (Regulation Best Interest)
Regulation Best Interest (Reg BI) is a U.S. securities regulation designed to strengthen the standard of conduct that broker-dealers owe to retail investors when making recommendations about securities transactions or investment strategies. Adopted by the U.S. Securities and Exchange Commission and effective as of June 30, 2020, Reg BI aims to enhance investor protection while preserving investor access to brokerage products and services.
Reg BI requires broker-dealers and financial advisors to act in the best interest of the retail customer at the time a recommendation is made, and not to place their own financial or other interests ahead of the customer’s. This represents a higher standard than the historical “suitability” requirement, which only required that recommendations be suitable, not necessarily optimal or conflict-free.
Reg BI is built around four key obligations:
- Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and recommendations, including fees, scope of services, and conflicts of interest.
- Care Obligation – Recommendations must be made with reasonable diligence, care, and skill, considering costs, risks, and alternatives.
- Conflict of Interest Obligation – Firms must identify, disclose, and mitigate or eliminate conflicts, particularly those that create incentives to favor one product over another.
- Compliance Obligation – Firms must establish policies and procedures designed to ensure compliance with Reg BI as a whole.
Importantly, Reg BI applies at the recommendation level, not as a continuous duty like the fiduciary standard applicable to registered investment advisers. Still, it significantly narrows the gap by emphasizing cost considerations, conflict management, and investor-focused decision-making.
Overall, Regulation Best Interest seeks to promote transparency, improve the quality of investment recommendations, and reinforce trust between retail investors and broker-dealers in the U.S. securities markets.
Background Information (from BrokerCheck)
Based on his BrokerCheck report, Marc Korsch:
Is not currently registered as a broker.
Has passed the Securities Industry Essentials (SIE), Series 6, Series 7, Series 24, Series 63, and Series 65 exams.
Was previously registered with firms that include Arkadios Capital, Centaurus Financial, Inc., and Trustmont Financial Group, Inc.
Kurta Law Can Help
If you have worked with Marc Korsch and you have concerns about his activity, Kurta Law may be able to help you evaluate potential recovery options. You may be entitled to pursue a claim through FINRA arbitration, depending on the facts of your situation and the investments involved. Contact Kurta Law at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
Helpful resources: FINRA Arbitration Rules | Stockbroker Fraud
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