Marc Jeffrey Rowan (CRD #1410799) Has Civil Event Disclosures on FINRA BrokerCheck

Marc Jeffrey Rowan (CRD #1410799) is a broker with civil event disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on May 21, 2026. It reflects three pending civil event disclosures. If you invested with Marc Rowan and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Civil Charges

Marc Rowan’s FINRA BrokerCheck Report reflects three pending civil event disclosures. Two examples are summarized below. One additional civil event disclosure remains reported.

On March 2, 2026, Solomon Feldman, a purported stockholder of Apollo Global Management, Inc., filed a class action complaint. Marc Rowan’s FINRA BrokerCheck Report states that the complaint named Apollo Global Management, Inc., Marc Rowan, and Leon Black. The complaint includes claims under the federal securities laws, including Section 10(b). It challenges public statements made in 2021 and 2022 about whether Apollo Global Management did business with Jeffrey Epstein. The matter is pending in the U.S. District Court for the Southern District of New York. Marc Rowan’s FINRA BrokerCheck Report lists docket number 1:26-cv-1692.

On August 17, 2023, Anguilla Social Security Board filed a shareholder derivative complaint in Delaware Chancery Court. Marc Rowan’s FINRA BrokerCheck Report states that the complaint named current and former Apollo Global Management directors and related parties. The challenge concerns payments linked to the Tax Receivables Agreement. It also concerns the elimination of the Up-C structure before Apollo’s merger with Athene. The complaint includes claims of corporate waste and breach of fiduciary duties. It seeks damages, restitution, disgorgement, injunctive relief, costs, and attorneys’ fees. Marc Rowan’s FINRA BrokerCheck Report lists docket number 2023-0846-JTL and states that the matter remains pending.

Rule Summary #1: FINRA Rule 4530 (Reporting Requirements)

FINRA Rule 4530 requires member firms to report certain civil actions and other events to FINRA. The rule helps keep BrokerCheck records current when reportable matters arise.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor)

FINRA Rule 2010 requires member firms to follow high standards of commercial honor. Civil actions tied to securities activity can raise questions about those standards.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Marc Rowan:

Is currently registered with Apollo Global Securities, LLC.

Has passed the Securities Industry Essentials (SIE) exam. Marc Rowan has passed Series 24, Series 79, and Series 7.

Was previously registered with firms that include Credit Lyonnais Securities (USA), Inc. and Drexel Burnham Lambert Incorporated.

Kurta Law Can Help

If you have worked with Marc Rowan and have concerns about his activity, Kurta Law may be able to help. A securities attorney can assess potential causes of action. The review can address whether losses may be recoverable through FINRA arbitration or other avenues. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | What is Securities Fraud

For nearly 20 years, Kurta Law has advocated for investors. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts. Counsel can then explain possible next steps.