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Marcie Behman Allegedly Failed to Act in Client’s Best Interest

Dec 2, 2022 Investor Disputes

Marcie Behman (CRD #: 2074358), a broker registered with Morgan Stanley, allegedly failed to act in a client’s best interest, according to her BrokerCheck record, accessed on November 21, 2022. Investors may also have engaged her services through The Behman Group. If you want to know more about her conduct as a broker, keep reading.

Investor Dispute

On August 10, 2022, an investor alleged that Marcie Behman failed to act in her best interest when dividing assets in connection with her divorce from August to November 2021. This dispute was denied by the firm.

However, investors should be aware that firms can deny disputes without an external review. Investors can still pursue FINRA arbitration following a denial and may be able to recover their funds.

FINRA Rule 2010

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

Background Information

Marcie Behman 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

Marcie Behman is a registered broker in all 50 states, the District of Columbia, and Puerto Rico. She is also a registered investment adviser in Connecticut and Texas.

She has also worked for Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691).

Kurta Law Can Help

If you worked with Marcie Behman and you 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 and 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. 

 

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