DID MARK LAWRENCE SULLIVAN CAUSE YOU INVESTMENT LOSSES?
Mark Sullivan Of UBS Financial Services And Formerly With Credit Suisse Securities (USA) Has A Customer Complaint For Alleged Broker Misconduct
Who is Mark Sullivan of UBS Financial Services?
Mark Sullivan (CRD #2531982) who is currently registered with UBS Financial Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Mark Sullivan was associated with Credit Suisse Securities (USA) and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Mark Sullivan Customer Complaint
Mark Sullivan has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The customer complaint filed against Mark Sullivan’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report.
Mark Sullivan Red Flags & Your Rights As An Investor
Of course, Mark Sullivan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mark Sullivan at UBS Financial Services and Credit Suisse Securities (USA) on alert to review carefully the activity and performance of their accounts and question whether Mark Sullivan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and Credit Suisse Securities (USA) also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At UBS Financial Services Due To Mark Sullivan
If you have questions about UBS Financial Services, Credit Suisse Securities (USA), and/or Mark Sullivan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.