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Mark Forktus Allegedly Impersonated Clients

Mark Forktus (CRD #: 1874830), a broker registered with Prospera Financial Services, was fired from his previous firm, according to his BrokerCheck record, accessed on July 31, 2022. Read on if you want to know more about his conduct as a broker.

Termination from Wells Fargo Clearing Services

On June 1, 2022, Mark Forktus was fired from Wells Fargo Clearing Services after he allegedly impersonated a client on a call with another firm regarding extending the client’s annuity commencement date.

Mark Forktus allegedly also impersonated another client on a separate phone call to the same firm in order to obtain information on behalf of the client concerning an annuity for which he was not the agent of record.

FINRA Rule 2010

Impersonation of clients violates FINRA Rule 2010, which requires brokers to uphold high standards of commercial honor and just and equitable principles of trade. 

Background Information

Mark Forktus 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
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination
  • Series 9 – General Securities Sales Supervisor – Options Module Examination
  • Series 10 – General Securities Sales Supervisor – General Module Examination
  • Series 24 – General Securities Principal Examination

Mark Forktus is a registered broker in five states and a registered investment adviser in Pennsylvania. 

He has also worked for the following firms:

  • Wells Fargo Clearing Services (CRD#:19616)
  • First Union Brokerage Services (CRD#:8112)
  • Marketing One Securities (CRD#:16611)
  • Liberty Securities (CRD#:14416)
  • TFS Securities (CRD#:20626)

Kurta Law Can Help 

If you have worked with Mark Forktus and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or 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.