Mark Poulin Allegedly Made Misrepresentations

Mark Poulin (CRD #: 2034087), a broker registered with Morgan Stanley, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on December 18, 2023. Keep reading if you have questions regarding his alleged conduct. 

On November 20, 2023, an investor alleged that Mark Poulin made misrepresentations regarding an advisory account and management fees. 

What Are Managed Accounts?

Managed accounts often come with higher fees than self-directed brokerage accounts and may be unsuitable for many investors. Investments are only suitable if they fit an investor’s financial goals. 

Misrepresentation

FINRA Rule 2020 prohibits the misrepresentation of investments and omission of material facts. Material facts include information about fees. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 also violate this rule. 

Background Information 

Mark Poulin has passed the following exams: 

• Series 66 Uniform Combined State Law Examination
• 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 26 Investment Company Products/Variable Contracts Principal Examination 

He is a registered broker in 41 states and D.C. He is also a registered investment advisor in Ohio and Texas. 

During his 25 years of experience, Mark Poulin has registered with seven firms: 

• Morgan Stanley (CRD #: 149777) 
• TransAmerica Capital (CRD #: 8217) 
• Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
• Directed Services (CRD #: 21675) 
• Smith Barney (CRD #: 7059) 
• Prudential Securities Incorporated (CRD #: 7471) 
• The Ohio Company (CRD #: 628) 

Kurta Law Can Help 

If you have worked with Mark Poulin 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.