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Marc Laborde: Embroiled in Investor Disputes Regarding Unsuitable Options Strategy

Marc Laborde (CRD #: 4975479), a broker registered with Rockefeller Financial, is involved in investor allegations that he recommended an unsuitable investment strategy, according to his BrokerCheck record, accessed on February 23, 2021.

On January 12, 2021, an investor alleged that beginning in 2017, Marc Laborde recommended an unsuitable options overlay strategy, which is a risky strategy that is only suitable for investors with a high risk tolerance. The investor further alleged that Laborde misrepresented this strategy. The investor is seeking $450,000; the dispute is pending.

On December 16, 2020, an investor alleged that Marc Laborde recommended an unsuitable investment strategy. The investor alleged that this activity began in 2016. The investor is seeking $1,000,000; the dispute is pending.

On November 4, 2020, an investor alleged that Marc Laborde recommended an unsuitable options overlay strategy. The investor sought $1,775,430.13, but the dispute was denied by the firm. When firms deny disputes, it is up to the investor to decide if they want to file a claim for FINRA arbitration.

Laborde has passed the Series 66 Uniform Combined State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in 25 states and a registered investment adviser in Texas.

Marc Laborde has 14 years of experience and has worked at three firms:

  • Rockefeller Financial (CRD #: 291361)
  • UBS Financial Services (CRD #: 8174)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)

If Marc Laborde was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for a free case consultation with a securities attorney.