MARK SULLIVAN Terminated After UBS FINANCIAL SERVICES INC. Allegations – Goodman & Nekvasil, P.A., May Recover Investor Losses
MARK SULLIVAN Terminated After UBS FINANCIAL SERVICES INC. Allegations.
MARK LAWRENCE SULLIVAN
MARK SULLIVAN
CRD#: 2531982
MARK LAWRENCE SULLIVAN (CRD#: 2531982), a former broker for UBS FINANCIAL SERVICES INC. in NEW YORK, NY, has been terminated. Sullivan’s former employer discharged him after review determined that employee violated firm policies by exercising discretion, mismarking tickets, and was not forthcoming during the investigation.
Sullivan Has a Settled Investor Complaint
According to Sullivan’s FINRA BrokerCheck Report, Client verbally alleged the securities recommended were not suitable for a person of his age.
The claim settled for $96,565.83.
MARK SULLIVAN Terminated After UBS FINANCIAL SERVICES INC. Allegations.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 3/6/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.