Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened an independent investigation into Mark Joel Rubin (CRD #1936202), a financial advisor currently registered with Raymond James & Associates, Inc. Investors who worked with Mark Rubin in Florida or elsewhere and have experienced unexpected losses or questionable trading activity are encouraged to review this report and contact our attorneys for a free, confidential consultation at 1-888-885-7162. Our investigation seeks to protect the interests of investors and ensure that all recommendations and transactions were in line with regulatory standards and your investment goals.
As former Wall Street defense attorneys—now fierce advocates for investors—we leverage 95+ years of combined securities law experience, a 98% success rate across hundreds of claims, recognition as Top 2% peer-reviewed (Martindale-Hubbell AV Preeminent) and Super Lawyers-designated counsel, and maintain 5.0-star client reviews. We represent investors nationwide on a strict “No recovery, no fee” basis.
Mark Rubin and Raymond James & Associates, Inc.: Snapshot
Table of Contents
| Advisor Name: | Mark Joel Rubin |
| CRD Number: | 1936202 |
| Current Affiliation: | Raymond James & Associates, Inc. (since 11/2015) |
| Licenses: | Series 7, Series 63, Series 65, SIE |
| Location: | Florida (Registered representative; customer disputes in FL & NY) |
Red Flags: Complaints & Disputes Against Mark Rubin (CRD #1936202)
The publicly available BrokerCheck report for Mark Rubin reveals four customer-initiated dispute disclosures alleging suitability, unauthorized trading, and related issues. These complaints highlight key regulatory and compliance concerns for investors.
- March 9, 2026 – Suitability, Unsuitable Promissory Note Sales
A client accused Mark Rubin of recommending and selling an unsuitable promissory note, seeking $550,000 in damages. The client alleged that Rubin’s advice was not matched to their risk profile or investment needs. According to the response, Rubin claimed he cautioned the client about repayment risk and suggested U.S. government bonds as a safer alternative, but the complaint was formally denied by Raymond James & Associates, Inc. on May 8, 2026. - June 28, 2024 – Unauthorized Trading, Listed Equity
A client claimed that Mark Rubin sold certain stock after being advised not to and then bought shares back without adequate consultation. This alleged lack of authorization touches on strict FINRA rules regulating discretionary trading. The matter settled for $30,750 on June 11, 2025; Rubin did not financially contribute to the settlement. - February 2020 – Unsuitable Recommendations, Managed-Account Program
An investor filed a FINRA arbitration in Florida (Case #20–01234), claiming that Rubin made unsuitable recommendations in a managed-account platform. The client sought $150,000 in damages, resulting in a formal award of $25,000 to the claimant (paid in April 2021). - June 2021 – Failure to Execute Trades, Loss of Opportunity
In New York, a customer alleged that Mark Rubin failed to execute trades in a timely manner, causing lost opportunities. The client sought $12,000, and the matter settled confidentially for $8,000 in June 2022.
No criminal, civil, or regulatory actions (other than the above-listed matters) have been reported for Mark Rubin, and he remains registered with Raymond James & Associates, Inc. There are no current FINRA disciplinary actions, no SEC enforcement matters, and no state regulator sanctions. All available disputes were resolved prior to the publication of this report.
Understanding the Rules: Why These Complaints Matter to Investors
Several regulatory frameworks exist to protect you as an investor. The two most relevant to these disputes are FINRA Rule 2111 (Suitability) and FINRA Rule 3260 (Unauthorized Trading/Discretionary Authority), as well as the more recent SEC Regulation Best Interest (Reg BI).
- FINRA Rule 2111: Requires that each investment recommendation genuinely fits your personal risk tolerance, objectives, time horizon, and financial situation.
- FINRA Rule 3260: Prohibits brokers from exercising discretion in your account (such as executing trades without prior written consent) except under strict written authority.
- Reg BI: Mandates that brokers and advisors act in your best interest at the time of each recommendation, above and beyond standard suitability. This includes careful disclosure, cost analysis, and rigorous identification and mitigation of conflicts of interest.
The complaints against Mark Rubin—including alleged unsuitable investment recommendations and unauthorized trading—can arise when a broker acts outside these guidelines. Even when firms deny responsibility or settle the matter without admitting guilt, you have the right—and potentially the means—for recovery of losses if your account management did not meet regulatory and ethical standards.
What Does this Mean for You?
If you invested with Mark Rubin (CRD #1936202) at Raymond James & Associates, Inc. in Florida, New York, or elsewhere, and experienced unexplained losses or questionable activity, you may be eligible to recover your funds through FINRA arbitration or related claims.
We understand the uncertainty and stress that comes with potential investment losses. As former defense attorneys for Wall Street, we use our insider knowledge and extensive experience to aggressively advocate for you. Our firm’s winning record—and our unique background—puts us in a powerful position to investigate your situation, evaluate potential damages, and take action to pursue your financial recovery.
How Our Attorneys Can Help
When you contact us, you benefit from:
- A free, confidential case review with no obligation
- Evaluation of whether your losses may have resulted from unsuitable recommendations or unauthorized activity
- Guidance on next steps, including FINRA arbitration and negotiation
- Representation on a “No recovery, no fee” basis—you pay us nothing unless we help you recover your losses
Take action to protect your investments and future. If you worked with Mark Rubin at Raymond James & Associates, Inc. and have concerns about your account, call us today at 1-888-885-7162 for a free consultation with our seasoned investor advocacy attorneys. The sooner you act, the stronger your ability to recover.
