Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Sullivan (Sullivan), previously associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Sullivan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 14, 2024.
Time Frame: July 13th 2015 to August 14, 2024\, What were the allegations against the individual? Client verbally alleged the securities recommended were not suitable for a person of his age.