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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.)
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