Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened an investigation into Mark Samuel Epps (CRD #2185338) of Ausdal Financial Partners, Inc. Investors who have worked with Mark Samuel Epps, particularly in Michigan and surrounding states, should be aware of the available disclosures, allegations, and suitability rules that may affect their ability to recover investment losses. Our attorneys, with 95+ years of combined securities law experience and a 98% success rate in investor claims, are actively gathering information regarding complaints, product concentration, and FINRA arbitration outcomes involving this financial professional.
If you have questions about your investments or believe your account with Mark Samuel Epps may have been mishandled, we encourage you to contact us for a FREE, confidential consultation at 1-888-885-7162.
Mark Samuel Epps at Ausdal Financial Partners, Inc. – Background & Registration
Table of Contents
- Name: Mark Samuel Epps
- CRD Number: 2185338
- Broker-Dealer: Ausdal Financial Partners, Inc.
- Registration History: Registered since 2006, including prior roles at Purshe Kaplan Sterling Investments and Michigan Securities, Inc.
- Exams Passed: SIE, Series 7, Series 99TO, Series 63
- Mark Epps – BrokerCheck
Summary of Customer Complaints and Allegations Against Mark Epps
As part of our investigation, we carefully reviewed Mark Samuel Epps’s FINRA BrokerCheck report. The most recent review was conducted on July 21, 2026, and, as of that date, there were three customer dispute disclosures listed. For investor protection, each complaint is summarized below to help you understand the potential risks and red flags associated with his advisory conduct:
| Date | Allegation | Product | Status/Outcome | Damages Sought/Resolved |
|---|---|---|---|---|
| April 1, 2026 | Client alleged improper concentration of the account in fixed annuities. | Indexed annuities (14-year surrender period) | Complaint closed with no action (April 20, 2026) | $1,000,000 requested (no recovery noted in file) |
| December 17, 2021 | Alleged violations of FINRA rules, negligence, and breach of fiduciary duty. | Alternative investments | Settled in arbitration | $85,000 (Mark Epps did not contribute to the settlement) |
| Undisclosed Date | Additional customer dispute (public details not available) | Undisclosed | Not specified | Not specified |
Potential Red Flags:
- Account Concentration – Placing $1 million into a single product, such as indexed annuities with a lengthy surrender period, raises suitability and diversification concerns.
- Alternative Investment Suitability – Allegations involving alternative investments, especially when paired with negligence and breach of fiduciary duty, often signal higher risk, excessive fees, or mismatched product recommendations.
- Pattern of Customer Complaints – Multiple dispute disclosures could indicate recurring issues in relationship management, sales practices, or risk disclosure.
Securities Rules & Best Interest Standards That Matter
Several key regulations govern the suitability and fairness of advice provided by financial professionals such as Mark Samuel Epps:
- FINRA Rule 2111 (Suitability): Requires that all recommendations have a reasonable basis and are suitable based on a customer’s investment profile. Allegations of over-concentration often center on this rule.
- FINRA Rule 2010 (Standards of Commercial Honor): Imposes high standards for commercial honor and fair dealing.
- Regulation Best Interest (“Reg BI”): A U.S. Securities and Exchange Commission rule that holds broker-dealers to an enhanced standard. Advisors must prioritize the client’s interests above their own, thoroughly disclose conflicts, and recommend only cost-appropriate, client-focused strategies at the time of each transaction.
Violating these rules can expose investors to unnecessary risk, excessive fees, or losses that could have been avoided had the advisor used reasonable care, skill, and objective diligence. If you believe your portfolio was improperly concentrated in high-commission products or misrepresented alternative investments, you have important legal rights that our attorneys can help you assert.
Mark Samuel Epps – Additional Regulatory and Court Findings
Our broader research into Mark Samuel Epps’s regulatory footprint (as of April 2024) identified no findings of:
- Regulatory actions or investigations by FINRA, the SEC, or any state authority
- Civil proceedings, lawsuits, or bankruptcy filings
- Administrative orders, cease-and-desist orders, or final state securities orders
- Negative press, media scandals, or listings on consumer advocacy sites
Despite these findings, customer complaints disclosed in 2021 and 2026 are significant and justify careful account review, especially if your account involved unusual sales practices or a lack of product diversification.
Protect and Recover Your Investment Funds
We use our firm’s former Wall Street defense experience and insider knowledge to aggressively fight for individual investors. Investors nationwide have come to trust our Super Lawyers-designated team because of our strong reputation, including recognition among the top 2% of attorneys (Martindale-Hubbell AV Preeminent) and supported by 5.0-star client reviews. We pursue every potential avenue of recovery of losses in annuities, alternative investments, and unsuitable account strategies.
- No recovery, no fee – If we are unable to recover your losses, you owe us nothing.
- Confidential, no-obligation consultation – Protect your rights and explore your legal options at no cost.
- We will review your account, investigate sales practices, and advise you on the best path toward recovery.
What Should You Do Next?
If you invested with Mark Samuel Epps in Michigan or anywhere in the U.S. and have experienced losses, suspect impropriety, or simply want clarity on the suitability of the recommendations you received, our attorneys are here to help.
Call 1-888-885-7162 for a free consultation. Every inquiry is handled discreetly and professionally.
For the protection of your investments and peace of mind, rely on our experience and advocacy to help you recover what you are rightfully owed.
