Mark Erwin Involved in an Investor Dispute

Mark Erwin (CRD #: 3039639), a broker registered with Commonwealth Financial Network, recently settled an investor dispute. This disclosure appears on his BrokerCheck record, accessed on February 13, 2024. Keep reading if you have questions about his alleged conduct. 

Allegations Regarding Distributions 

On November 1, 2023, an investor alleged that Mark Erwin allowed her husbands to make distributions from her account. The investor sought $144,448.24 and the dispute settled for $57,500. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Giving an unauthorized person access to distributions may violate this rule. 

Previous Investor Dispute 

An earlier investor dispute alleges Mark Erwin recommended overly aggressive investments. 

Background Information 

Mark Erwin 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 
• Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in 18 states and is a registered investment adviser in California. 

During his 25 years of experience, Mark Erwin registered with four firms: 

• Commonwealth Financial Network (CRD #: 8032) 
• Linsco/Private Ledger Corp. (CRD #: 6413) 
• Northwestern Mutual Investment Services (CRD #: 2881) 
• Robert W. Baird & Co. (CRD #: 8158) 

Kurta Law Can Help 

If you have worked with Mark Erwin and you have concerns about your investments, do not hesitate to contact us 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 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. Do not let securities fraud go unchecked. Start your recovery process today.