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Investor Alleges Mark Hembling Failed to Put in Stop-Loss Orders

Mark Hembling (CRD #: 4955292), a broker registered with Edward Jones, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on May 5, 2023. Keep reading if you want to know more about his alleged conduct as a broker.

Investor Dispute

In a dispute filed on February 9, 2023, an investor alleged that Mark Hembling failed to put stop-loss orders on her stock. This dispute is currently pending.

FINRA Rule 2010

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

Background Information

Mark Hembling has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Mark Hembling is a registered broker in 34 states and the District of Columbia. He is also a registered investment adviser in Florida and Texas.

Kurta Law Can Help

If you worked with Mark Hembling 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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