Securities Arbitration Lawyers BlogFINRA Bars Mark Foster from Securities Industry
Mark Foster, of Pasadena, California, was barred from association with any FINRA member in any capacity. Foster worked for Stern Fisher Edwards, Inc. until May 2012. The sanction was based on findings that Foster failed to respond to requests from FINRA for information and documents and to appear and provide on-the-record testimony regarding allegations that he misappropriated more than $2 million in customer funds. Stern Fisher allegedly paid a customer $625,000 to settle the claim. (FINRA Case #2014039867601)
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