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Mark Kennedy Resigns from Concourse Financial Group Securities

Mark Kennedy (CRD #: 2352643), a broker formerly registered with Concourse Financial Group Securities, was permitted to resign from that firm, according to his BrokerCheck record, accessed on June 6, 2023. Read on if you have questions about his alleged conduct as a broker.

Resignation from Concourse Financial Group Securities

On May 22, 2023, Mark Kennedy was permitted to resign from Concourse Financial Group Securities after allegedly violating firm policy by using a personal email account to communicate with clients.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Mark Kennedy 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 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination

He previously worked for the following firms:

  • Concourse Financial Group Securities (CRD#:15708)
  • First Montauk Securities Corporation (CRD#:13755)
  • Wachovia Securities (CRD#:19616)
  • Morgan Stanley DW (CRD#:7556)

Kurta Law Can Help

If you worked with Mark Kennedy 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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