FINRA Bars Mark Beesley After Alleged Refusal to Provide Testimony

Mark Beesley (CRD #: 5362689), a broker formerly registered with Arthur W. Wood Company, has been barred by FINRA, according to his BrokerCheck record, accessed on November 6, 2024. If you want to know more about his alleged conduct as a broker, read on.

Bar by FINRA

In a Letter of Acceptance, Waiver & Consent (AWC), filed on October 17, 2024, Mark Beesley consented to the entry of findings that he allegedly refused to appear for on-the-record testimony requested in connection with a FINRA investigation into whether he engaged in undisclosed outside business activities.

FINRA permanently barred Mark Beesley. You can read the full AWC here.

FINRA Rule 8210

FINRA Rule 8210 requires members to provide documents, information, and testimony upon request by FINRA.

FINRA Rule 2010

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

Outside Business Activities

Mark Beesley’s detailed BrokerCheck page discloses the following outside business activities. The page describes these companies as LLC’s involving general defense and cybersecurity consulting, networking, and business leadership advice:

• Lone Star International
• Rocky Mountain Global
• Falcon BOR
• Yshwa Eagle
• Zoom Gap
• Ready Falcon

Background Information

Mark Beesley has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 24 – General Securities Principal Examination

He previously worked for the following firms:

• Arthur W. Wood Company (CRD#:3798)
• LPL Financial (CRD#:6413)
• Spire Securities (CRD#:144131)
• Potomac Securities (CRD#:144443)
• GCC-Prospect Corporation (CRD#:124728)
• Galen Corporation Securities (CRD#:142977)

Kurta Law Can Help

If you worked with Mark Beesley 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 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.