Robert Marquez Subject of FINRA Bar

Robert Marquez (CRD #: 2266269) has been barred by FINRA following his termination from Investment Network. These disclosures appear on his BrokerCheck record, accessed on December 13, 2023. Details concerning the allegations are provided below. 

On November 6, 2023, Robert Marquez entered into an Acceptance, Waiver, and Consent agreement (AWC) in which he consented to the findings that he refused to provide on-the-record testimony requested by FINRA. FINRA requested this testimony in connection with an investigation into the sales of “pre-IPO” private placement offerings. 

Private placements are high-risk and are not suitable for most investors. Investors who lost money on pre-IPO private placement offerings may be able to recover their losses through FINRA arbitration. 

As part of the terms of the AWC, Robert Marquez consented to a bar. You can read a copy of the bar here. 

FINRA Rule 8210 

FINRA Rule 8210 requires members to provide documents, information, and testimony upon request by FINRA.

FINRA Rule 2010

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

Termination 

On November 6, 2023, Robert Marquez was terminated by Investment Network. Investment Network cited the AWC’s allegations in their termination. 

Background Information 

Robert Marquez has passed the following exams:

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

During 31 years of experience, Robert Marquez has worked with ten firms. These are the five most recent: 

• Investment Network (CRD #: 127724) 
• EDI Financial (CRD #: 15699) 
• Colorado Financial Service Corporation (CRD #: 104343) 
• Brookstone Securities (CRD #: 13366) 
• Empire Financial Group (CRD #: 28759) 

Kurta Law Can Help 

If you have worked with Robert Marquez 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.