Jun 6, 2025 | By Robert Pearce | Read Time: 2 minutes | Category Name |

DID MARK KATZ CAUSE YOU INVESTMENT LOSSES?

About Mark Katz of Aegis Capital Corp

Mark Katz (CRD #3055019) is a Rancho Santa Fe, California–based broker newly registered with Aegis Capital Corp. since April 28 2025. He entered the securities industry in 1998 and previously worked at Western International Securities (2019-2025), Hilltop Securities (2008-2019), M.L. Stern & Co., and other firms.

Mark Katz Customer Complaints and Reviews

There are four customer disputes on Katz’s BrokerCheck record—two settled, two denied. Below is a representative settled case:

• Customer Dispute
• Date Filed: February 20 2024
• Details: Client alleged that Katz executed unauthorized and inappropriate municipal-bond transactions in 2023 while at Western International Securities, causing account losses.
• Product: Debt – Municipal Bonds
• Alleged Damages: $358,162.96
• Status: Settled March 22 2024 – $172,373.30 paid to the customer; Katz reports no personal contribution.

Allegations Against Mark Katz

Pending and settled matters have accused Katz of:

Unauthorized trading in fixed-income securities.
Unsuitable recommendations, misrepresentation, and fiduciary breaches involving municipal bonds, master-limited partnerships (MLPs), and non-traded REITs.

Mark Katz Red Flags & Your Rights as an Investor

Multiple six-figure settlements and additional denied complaints are notable red-flag indicators. FINRA-registered brokers must obtain client authorization, recommend only suitable investments, and provide full risk disclosure. If you experienced losses from municipal bonds, MLPs, or other products recommended by Katz, you may pursue compensation through FINRA arbitration—generally faster and less costly than court.

Did You Lose Money Because of Broker Misconduct?

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File a Claim to Recover Your Investment Losses at Aegis Capital Due to Mark Katz

If you have concerns about to Mark Katz’s recommendations or the management of your accounts, contact Attorney Pearce for a free initial consultation via email or Toll-Free 1-800-732-2889. Act promptly—strict time limits apply to securities-arbitration claims

Mark Katz of Aegis Capital Corp. Reviews