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Investor Claims Mark Epps Breached his Fiduciary Duty

Feb 22, 2022 Investor Disputes

Mark Epps (CRD #:2185338), a broker registered with Purshe Kaplan Sterling Investments, is involved in an investor dispute, according to his BrokerCheck record, accessed on February 10, 2022. 

Investor Allegations

On December 17, 2021, Mark Epps was named in an investor dispute alleging violations of FINRA rules, negligence, and breach of fiduciary duty. The dispute is still pending.

If you suffered investment losses as a result of your financial advisor breaching a fiduciary duty, you could recover your losses in FINRA arbitration. Understanding what constitutes a breach of fiduciary duty comes with many years of handling these kinds of cases. Kurta Law is a nationally recognized securities law firm with over 25 years of experience litigating securities fraud cases.

Background Information

Mark Epps has passed the following exams:

  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination

He is a broker registered in 12 states.

Besides, Purshe Kaplan Sterling Investments Mark Epps has also worked with the following firms: 

  • Michigan Securities (CRD#:101600)       
  • Ameriprise Financial Services (CRD#:6363)      
  • Multi-Financial Securities Corporation (CRD#:10299) 
  • Vestax Securities Corporation (CRD#:10332)   
  • Edward D. Jones & Co. (CRD#:250)
  • American Express Financial Advisors (CRD#:6363)
  • IDS Life Insurance Company (CRD#:6321)

Kurta Law Can Help

If you have worked with Mark Epps and have concerns about your investments, don't hesitate to contact us today 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 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.