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LPL Financial Fires Marc Barton Following Alleged Misconduct

Marc Barton (CRD #: 2937356), a broker registered with Newbridge Securities, was fired from his previous firm, according to his BrokerCheck record, accessed on October 29, 2022. Investors may have also worked with him through Newbridge Financial Services Group. If you want to know more about his conduct as a broker, read on.

Termination from LPL Financial

On August 23, 2022, Marc Barton was fired from LPL Financial after allegedly submitting account documents to the firm containing re-used client signatures and modifying documents signed by clients.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Re-using client signatures and modifying documents may violate this rule. 

Background Information

Marc Barton has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Marc Barton is a registered broker and a registered investment adviser in California.

He has also worked for the following firms:

  • LPL Financial (CRD#:6413)
  • Cetera Advisors (CRD#:10299)
  • Investors Capital Advisory (CRD#:30613)
  • Linker Financial Group (CRD#:127461)
  • Jefferson Pilot Securities Corporation (CRD#:3870)
  • Wachovia Securities (CRD#:19616)
  • Prudential Securities(CRD#:7471)
  • PaineWebber (CRD#:8174)

Kurta Law Can Help

If you worked with Marc Barton and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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