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Mark Lichtenfeld: $850,000 Option Overlay Strategy Complaint Against Ex-UBS Rep

Mark LichtenfeldPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 18, 2019 indicate that New Jersey-based Purshe Kaplan Sterling broker/adviser Mark Lichtenfeld has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lichtenfeld (CRD# 2762708).

Mark Lichtenfeld has spent 22 years in the securities industry and has been registered with Purshe Kaplan Sterling Investment in Short Hills, New Jersey and Albany, New York since April 2019. Previous registrations include UBS Financial Services in Florham Park, New Jersey (2009-2019); Citigroup Global Markets in Morristown, New Jersey (2006-2009); RBC Dain Rauscher in New York, New York (2002-2006); Tucker Anthony in Boston, Massachusetts (1997-2002); and Prudential Securities in New York, New York (1996-1997). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 19, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 19, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on August 25, 2008; Series 3 (National Commodity Futures Examination), which he obtained on September 20, 1996; an Series 7 (General Securities Representative Examination), which he obtained on August 12, 1996. He is a registered broker with one US state: New Jersey.

According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints.

In May 2019 a customer alleged Mark Lichtenfeld, while employed at UBS Financial Services, misrepresented material facts and recommended an unsuitable options overlay strategy. The customer is seeking $850,000 in damages in the pending complaint.

In April 2019 a customer alleged Mark Lichtenfeld, while employed at UBS Financial Services, misrepresented and recommended an unsuitable options overlay strategy. The customer is seeking $360,000 in damages in the pending complaint.

In 2003 a customer alleged Mark Lichtenfeld, while employed at Tucker Anthony, recommended WorldCom investments “based off of biased research.” The complaint settled for $5,000.

If you or someone you know has a complaint regarding Mark Lichtenfeld, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.