Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Dineen (Dineen), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Dineen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $540,000.00 on February 10, 2023.
Time frame: 2018-present \, \, Allegations: Claimant alleges funds from trust were removed without authorization or consent, and funds have been allegedly missing.