According to records provided by the Financial Industry Regulatory Authority (FINRA), former Florida-based Newport Coast broker Mark Hermes is currently not licensed to act as a broker or investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hermes (CRD# 4200965).
Mark Hermes has spent thirteen years in the securities industry and was most recently registered with Newport Coast Securities in Fort Lauderdale, Florida (2015). Previous registrations include Laidlaw & Company in Fort Lauderdale (2014); Sterne Agee Financial Services in Fort Lauderdale (2009-2014); Emmett A. Larkin Company in Fort Lauderdale (2008-2009); LF Financial in Boca Raton, Florida (2007); Pointe Capital in Pompano Beach, Florida (2006); Salomon Grey Financial Corporation in Dallas, Texas (2003-2006); and eight other employers between 2000 and 2003. Five of Mr. Hermes’ former member firms, including Salomon Grey Financial and CGF Securities, have since been expelled by FINRA.
According to his BrokerCheck report, Mark Hermes is the subject of one denied customer complaint and two tax liens.
In 2014 a customer alleged Mark Hermes, while employed at Sterne Agee Financial Services, executed unauthorized trades between February and March 2014. The customer sought more than $5,000 in damages in the complaint, which was denied.
In 2013 the Internal Revenue Service (IRS) reported a tax lien of $35,516 against Mark Hermes. The lien remains outstanding.
In 2012 the IRS reported a tax lien of $14,270 against Mark Hermes. The lien remains outstanding.
If you or someone you know has a complaint regarding Mark Hermes, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect a recovery. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.