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Ex-Broker Marcus DeBaise & Wells Fargo Advisors

If you’ve suffered investment losses with stockbroker Marcus DeBaise of Glastonbury, CT, you may be able to recover some of those losses through FINRA Arbitration!

The Law Office of Howard Rosenfield recently filed a FINRA Arbitration claim against Wells Fargo Advisors (formerly Wachovia Securities) alleging that its representative, Marcus J. DeBaise (CRD# 2404266) over concentrated and failed to diversify the portfolio of retirees in a variety of risky equity investments including, but not limited to the following:

  • Acegy SA Sponsored ADR
  • Amarin Corporation PCL
  • ATP Oil & Gas
  • Aviat Networks, Inc.
  • Bankers Petroleum
  • Bioenvision Inc
  • Black Diamond, Inc.
  • Carrington Labs, Inc.
  • Carrizo Oil & Gas
  • China Mediaexpress Holdings
  • Compton Petroleum Corp.
  • CV Therapeutics
  • Dendreon Corp.
  • Dryships, Inc.
  • DVI, Inc.
  • Essex Rental Corp.
  • FAB Universal Corp
  • Fusion-IO Inc.
  • Galleon Energy, Inc.
  • GMX Resources, Inc.
  • Harris Stratex Networks
  • ICJ Medical, Inc.
  • KHD Wedag International
  • Liveperson, Inc.
  • MFC Corp.
  • Middleby Corp.
  • Mosaic Company
  • Myriad Pharmaceuticals
  • National Oilwell Varco, Inc.
  • Niko Resources, Ltd.
  • Orient Express Hotels Ltd
  • Petrohawk Energy Corp.
  • Presstek Inc.
  • Regis Corp Minn
  • Talisman Energy, Inc.
  • Turnkey E&P Inc.
  • United Therapeutics Corp.
  • Walter Energy
  • Xtreme Drilling & Coil

According to FINRA records, Marcus DeBaise has been subject to over 11 customer disputes since 2011, many of which relate to the over-concentration of investor portfolios in equities.

Brokerage firms like Wells Fargo Advisors have a duty to properly supervise their representatives like Marcus DeBaise to ensure that the investments that they recommend to customers are suitable for their needs.

For more information about how to recover your assets from loss caused by Marcus DeBaise, contact Attorney Howard Rosenfield at (860) 677-4334 or email howardrosenfield@stockbrokerproblems.com.

Attorney Rosenfield is also available to speak on specific subject matter topics related to investment fraud.

Client Reviews
Howard Rosenfield is truly a life saver. After months of working with my financial advisor, I found out he was making risky investments without my knowledge. When I discovered how much money I lost, I thought there was nothing I could do. Howard explained all the difficult terms and what exactly my financial advisor did wrong. If it wasn't for Howard, I would never have recovered my losses and would be under extreme financial distress to this day. J.
Howard’s experience and advice throughout this ordeal was invaluable and reassuring. The law in general is complicated, difficult to understand and very personal. Financial misappropriation is even more personal but Howard’s years of experience and calm demeanor helped keep me calm, focused and moving forward. For anyone in need of a knowledgeable and experienced Investment Recovery Attorney I strongly recommend Howard. Laura
I was filled with anxiety and stress when I selected Attorney Howard Rosenfield to represent me. Instantaneously, I felt comfortable and at ease. Attorney Rosenfield listens attentively to the facts and asks questions and competently reiterates and verifies the accuracy and completeness of my statements. Perseverance, trustworthy and superb legal and communication skills mark Attorney Rosenfield to be one of the best in his field of law. Helen