Mark David Yadron (CRD #1520648) Has Customer Dispute, Criminal, and Judgment/Lien Disclosures on FINRA BrokerCheck

Mark David Yadron (CRD #1520648) is a broker with disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on April 15, 2026. It reflects eight customer disputes, one criminal disclosure, and one judgment/lien disclosure. If you invested with Mark Yadron and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Mark Yadron’s FINRA BrokerCheck Report reflects eight customer dispute disclosures. We summarize two below. Six additional customer dispute disclosures remain on the report.

On February 9, 2026, a claimant alleged Mark Yadron misrepresented and recommended unsuitable annuities. The claim seeks $200,000 in damages. Mark Yadron FINRA BrokerCheck lists the product as an annuity-variable, and the matter remains pending.

On October 9, 2020, a customer alleged Mark Yadron made unsuitable investment recommendations in March 2020. Mark Yadron FINRA BrokerCheck shows the matter settled on November 24, 2020, for $4,986.71.

Criminal Charges

Mark Yadron’s FINRA BrokerCheck Report reflects one criminal disclosure. It states that on March 25, 1991, he received a misdemeanor disposition for false information to a police officer.

The disposition included one year of unsupervised probation, a suspended six-month jail sentence, a $72 fine, and 16 hours of community service.

Judgment / Lien

Mark Yadron’s FINRA BrokerCheck Report reflects one judgment/lien disclosure. It lists an outstanding tax lien for $18,832.48 filed on April 12, 2023.

BrokerCheck identifies the lien holder as the State of Arizona and lists Maricopa, Arizona, as the court location.

Rule Summary #1: FINRA Rule 2330 (Deferred Variable Annuities)

FINRA Rule 2330 applies to recommended purchases and exchanges of deferred variable annuities. It requires firms and brokers to consider product features, surrender charges, liquidity needs, and suitability before making the recommendation.

Rule Summary #2: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a reasonable basis to believe a recommendation is suitable for the customer. It focuses on the investor’s profile, including age, financial situation, objectives, liquidity needs, and risk tolerance.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Mark Yadron:

Is currently registered with Kestra Investment Services, LLC.

Is also registered as an investment adviser representative with Kestra Private Wealth Services, LLC.

Has passed the Securities Industry Essentials (SIE) exam. Mark Yadron has also passed Series 31, Series 7, Series 52, Series 65, Series 63, Series 10, and Series 9.

Was previously registered with firms that include Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley.

Kurta Law Can Help

If you have worked with Mark Yadron and you have concerns about your investments, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Variable Annuities | Unsuitable Investments

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.