Two recent investor complaints detail allegedly unsuitable investment recommendations by Mark Mappa (CRD# 1874503), a broker and an investment advisor...Read More
Brian Marston: $1.7MM Real Estate Complaint Against Woodbury Rep
Greenwood Village, Colorado stockbroker and investment adviser Brian Marston (CRD# 733083) is involved in pending investor disputes. According to the Financial Industry Regulatory Authority, Marston is currently a representative of Woodbury Financial Services, where he has been registered since 2006.
Brian Marston’s BrokerCheck report discloses two pending investor complaints against him. Both were filed by customers of Woodbury Financial Services in 2021. One complaint alleges that Marston concentrated their accounts in unsuitable alternative products involving real estate securities; the other alleges that he misrepresented and recommended unsuitable real estate and business development company investments. The first alleges damages of $1,737,306, while the other alleges unspecified damages believed to be greater than $5,000. Both are still pending
Records also show one denied investor complaint against Brian Marston. Filed in 2014, the complaint alleged that while he was a representative of Woodbury Financial Services, he misrepresented guarantees offered under an Autoguard 5 variable annuity rider. The complaint alleged unspecified damages believed to be greater than $5,000; it was denied by the firm.
According to the Financial Industry Regulatory Authority, Brian Marston holds 39 years of securities industry experience. He is registered with Woodbury Financial Services in Greenwood Village, Colorado; he has been registered with the firm as a broker since 2006 and as an investment adviser since 2007. His registration history includes RMIN Securities (Denver, Colorado), NEXT Financial Group (Houston, Texas), National Planning Corporation (Los Angeles, California), Pruco Securities Corporation (Newark, New Jersey), and the Prudential Insurance Company of America (Newark, New Jersey). He has passed the Uniform Securities Agent State Law Examination (Series 63), the Securities Industry Essentials Examination (SIE), the General Securities Representative Examination (Series 7), the Investment Company Products/Variable Contracts Representative Examination (Series 6), and the Investment Company Products/Variable Contracts Principal Examination (Series 26). He holds 23 state securities licenses. (Information current as of November 13, 2021.)