Mark Lalich Subject of Washington Regulatory Action

Mark Lalich (CRD #: 6590999), a broker formerly registered with Ameriprise Financial Services, has been the subject of a state regulatory action, according to his BrokerCheck record, accessed on March 7, 2025. Read on if you want to know more about his alleged conduct as a broker.

Washington Regulatory Action

On December 31, 2024, the Washington Department of Financial Institutions, Securities Division alleged that Mark Lalich engaged in the preferential allocation of block trades, according to his detailed BrokerCheck report.

The Securities Division further alleged failure to maintain books and records and to disclose material information concerning the termination of GreenRock Asset Management’s custodian, and the failure to promptly update the firm’s Form ADV.

Mark Lalich consented to a civil penalty of $10,000 and an additional sanction of $5,000.

FINRA Rule 2010

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

Background Information

Mark Lalich has passed the following exams:

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

He previously worked for Ameriprise Financial Services (CRD#:6363) and Edward Jones (CRD#:250).

Kurta Law Can Help

If you worked with Mark Lalich 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 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.