Sep 15, 2024
DID MARK LAWRENCE SULLIVAN CAUSE YOU INVESTMENT LOSSES? Mark Sullivan Formerly With UBS Financial Services Inc. was terminated on July 26, 2024, after review determined that he violated firm policies by exercising discretion, mismarking tickets, and was not forthcoming during the investigation. Mark Sullivan Employment History Mark Lawrence Sullivan has worked for six different securities firms throughout his career. His most recent registration was with UBS Financial Services Inc in New York, NY, from November 2015 to August 2024. Prior to that, he was registered with Credit Suisse Securities (USA) LLC from September 2008 to December 2015, and with Lehman Brothers Inc. from October 1997 to September 2008. Earlier in his career, he worked with Needham & Company, Inc., Bear, Stearns & Co. Inc., and CS First Boston Corporation. Sullivan is not currently registered with any brokerage firm. During his career, Sullivan passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on October 1, 2018, and the General Securities Representative Examination (Series 7) on January 21, 1995. He also passed two multi-state securities law exams: the Uniform Investment Adviser Law Examination (Series 65) on May 17, 2022, and the Uniform Securities Agent State Law Examination (Series 63) on December 21, 1994. His registration with UBS Financial Services Inc. ended in July 2024 after he was discharged for violating firm policies, including exercising discretion without proper authorization, mismarking tickets, and not being forthcoming during an investigation. Mark Sullivan Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Mark Sullivan is a red flag which should put all current and former customers of Mark Sullivan at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Sullivan engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 833-300-6983. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Mark Sullivan If you have questions about UBS Financial Services Inc. 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.
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