Close Menu
Free Consultation: 888-976-6111

Deerfield Beach Rep Mark Bushkin Allegedly Made Unauthorized Trades

Deerfield Beach, Florida broker and financial advisor Mark Bushkin (CRD# 2051696) recently received an investor complaint that settled for more than $50,000, according to Financial Industry Regulatory Authority records. He is a representative of Bushkin Financial Services, which offers securities through Avantax Investment Services. 

Filed in January 2022, the sole complaint listed on Mr. Bushkin’s BrokerCheck report alleged that as a representative of Avantax Investment Services, he “determined in what to invest and did not obtain [the customers’] approval prior to investing.” In March 2022 the complaint, which concerned a mutual fund product, reached a settlement of $53,561.73. 

For reference, unauthorized trading is forbidden by various securities industry standards, including FINRA Rule 2010, which states that “a member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.”

According to Financial Industry Regulatory Authority records, Mark Bushkin holds 31 years of securities industry experience. He is a representative of Bushkin Financial Services, offering securities through Avantax Investment Services, with which he has been registered in Deerfield Beach, Florida since 1990. His credentials include the passage of seven securities industry qualifying exams: the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; the Direct Participation Programs Representative Examination, or Series 22; the Corporate Securities Limited Representative Examination, or Series 62; the Municipal Securities Representative Examination, or Series 52; and the Investment Company Products/Variable Contracts Representative Examination, or Series 6. He is licensed in California, Colorado, Florida, Georgia, Idaho, Illinois, Kentucky, Maine, Massachusetts, Michigan, Nevada, New Jersey, New York, North Carolina, North Dakota, Texas, Virginia, and Washington. (Information current as of May 16, 2022.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Bob Rebussini: Integrated Financial Advisor Faces $150K Complaint

    Cranston, Rhode Island financial advisor Bob Rebussini (CRD# 1622141) has received multiple investor complaints alleging that his advice resulted in...

    Read More
  • iCap Equity Described as “Ponzi Scheme”

    There is “overwhelming evidence” that iCap Equity was operating a Ponzi-scheme, according to Paladin Management Group, the firm appointed by...

    Read More
  • Peter Robertson: $2.9mm Complaint Against Peak Financial Advisor

    Irvine, California financial advisor Peter Robertson (CRD# 1695345) recently received an investor complaint alleging that his advice resulted in seven-figure...

    Read More
  • John Hibshman: $100K Complaint Against Waypoint Advisor

    Recent investor complaints against Orange Village, Ohio financial advisor John Hibshman (CRD# 2193302) concern investments in oil and gas products....

    Read More
  • Previous
  • Next