Mark Charles Cohen Barred By FINRA Following Alleged Fund Conversion

The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Mark Charles Cohen. According to his publicly available FINRA BrokerCheck report, Mark Charles Cohen has been the subject of a customer dispute and a FINRA sanction.

Mark Charles Cohen was a New York based securities broker. He worked in the securities industry for fifteen years. During his career, he was registered with three different securities firms. He is no longer working as a registered securities broker in any fashion.

His Registrations

• AXA Advisors (2003-2011)


• MetLife Securities (2011-2014)


• BCG Securities (2014-2018)

• In April 2011, a customer alleged that sale of various variable annuities executed by Mark Charles Cohen were unsuitable due to her age and financial needs. This case was settled for $118,804 in damages.


• In July 2017, Mark Charles Cohen was officially sanctioned by FINRA. The findings in this matter state that he allegedly converted at least $14,606 from his member firm. He did this by allegedly submitting multiple false expense reports to MetLife Securities and being reimbursed for non-existent expenses. Due to these allegations, he was barred by FINRA from acting as a securities broker in any fashion. He was terminated from MetLife Securities three years prior when the allegations first came to light.

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.

Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Mark Charles Cohen, please contact Oakes & Fosher for a free and private consultation.