Haselkorn & Thibaut Opens Investigation into Former VALIC Financial Advisors Broker Mark Clarence Block
Are you an investor who worked with Mark Clarence Block during his time with VALIC Financial Advisors, Inc. in Lakewood, Colorado? If so, this is a critical update for you. Haselkorn & Thibaut, a national investment fraud law firm with over 50 years of experience, has opened an investigation into this former stockbroker. Given the range of issues that can arise with investment accounts, it’s important you have up-to-date and accurate information — and understand your options if you have any concerns regarding your investments or your former advisor.
Who is Mark Clarence Block?
Table of Contents
- Name: Mark Clarence Block
- Most Recent Broker-Dealer: VALIC Financial Advisors, Inc. (Lakewood, CO)
- Other Firms: Union Capital Company (Tucson, AZ); Peak Securities Corporation (Scottsdale, AZ)
- Current Status: Not currently registered with a FINRA-member firm
- Active in Industry: 01/2012–08/2023 (VALIC); prior short stints at Union Capital (2009–2010) and Peak Securities Corporation
- Last Updated: February 2026 — Littleton, CO
Note: Mr. Block is no longer registered as a broker or investment advisor as of August 2023. This means he is not authorized to provide brokerage or advisory services through any FINRA-member firm at this time.
Why Is There An Investigation?
Haselkorn & Thibaut has opened its independent investigation into Mark Clarence Block’s activities while at VALIC Financial Advisors, Inc. The goal is to provide clarity for investors who may have experienced issues—including potential losses, unauthorized trading, or unsuitable recommendations—while Mr. Block was acting as their representative.
Investor concerns don’t always present themselves immediately. Sometimes, complaints or red flags become evident only months or years after investments were made. That’s why a nationwide law firm like Haselkorn & Thibaut—with a 98% success rate and millions recovered for clients—can play a crucial role in evaluating your situation and determining if you are eligible to recover lost investment funds.
What Are the Regulatory Records?
At the time of this writing, a review of FINRA BrokerCheck and relevant publicly available records for Mark Clarence Block indicates the following:
- Block was registered with VALIC Financial Advisors, Inc. from January 2012 to August 2023
- No current registration with any FINRA-member firm
- Previously registered with smaller firms for relatively brief periods
To get a complete and current picture, investors are encouraged to visit BrokerCheck for updates on disciplinary actions, disclosures, or changes in status for Mark Clarence Block.
Review of Complaints and Disclosures
After searching the FINRA BrokerCheck database and other public regulatory data:
- Currently, there are no publicly disclosed customer complaints or lawsuits listed against Mark Clarence Block through FINRA BrokerCheck.
- No regulatory actions, criminal cases, or pending investigations directly reported in public databases at this time.
- Past employment termination, disciplinary, or internal review actions (if any exist), are not disclosed in the publicly available portion of the records as of this report’s last update.
It’s important to keep in mind that sometimes complaints may not yet be publicly visible. Certain issues—such as unsuitable recommendations or failure to disclose important risks—may have affected you or someone you know, even if formal regulatory action has not occurred.
| Type of Disclosure | Status (as of Feb 2026) | What This Means for You |
|---|---|---|
| Customer Complaints | No public complaints listed | Still possible to have experienced errors or unsuitable advice—consult for evaluation |
| Regulatory Actions | None disclosed | Does not rule out private disputes or non-public issues |
| Employment Terminations or Internal Reviews | None reported | Check for firm communications or client letters |
Potential Red Flags and Investor Awareness
Even with a clean public regulatory record, investors should stay vigilant. There are scenarios where improper sales practices, negligent account management, or unsuitable recommendations can take place without resulting in public disciplinary actions.
If you:
- Were advised on concentrated positions or complex products without proper risk disclosure
- Felt pressured into unsuitable or unfamiliar investments
- Noticed withdrawals, trades, or strategy changes you did not authorize
- Experienced unexplained investment losses or significant account fluctuations
You should strongly consider speaking to a securities attorney for a personalized review—even in the absence of a formal complaint.
What Should Investors Do Next?
Haselkorn & Thibaut offers a free, confidential consultation—call 1-888-994-8066 today. Their highly experienced legal team will listen to your concerns, review your situation, and explain all possible avenues for recovery of lost funds. There is no obligation and no fee unless they recover assets for you.
- Get a free portfolio review and case assessment
- Understand your rights as an investor
- Learn whether your circumstances qualify for a FINRA arbitration claim
- Benefit from the firm’s 98% success rate in securities arbitration and litigation
Contact Haselkorn & Thibaut Today
Don’t wait to take action. If you are a current or former client of Mark Clarence Block or VALIC Financial Advisors, Inc., your concerns matter and may qualify for compensation.
Call Haselkorn & Thibaut at 1-888-994-8066 or visit their website to start your free case review.
Remember: There are strict deadlines for taking legal action in investment loss matters, so reach out as soon as possible. You have nothing to lose—and potentially significant losses to recover.
