DID MARK ALAN SIEGEL CAUSE YOU INVESTMENT LOSSES?
About Mark Siegel of UBS Financial Services Inc.?
Mark Siegel (CRD #1579229) has an extensive background in the securities industry. He is currently registered with UBS Financial Services Inc. since December 12, 2022, and has previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated from August 1989 to December 2022. Over his career, Siegel has passed 2 general industry/product exams: the Securities Industry Essentials Examination and the General Securities Representative Examination, and 2 multi-state securities law exams: the Uniform Investment Adviser Law Examination and the Uniform Securities Agent State Law Examination. He is currently registered with 10 self-regulatory organizations and holds licenses in 25 U.S. states and territories.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Mark Siegel Customer Complaints and Reviews
Jason Douglas Smith has 1 customer dispute disclosed in his BrokerCheck report, which is currently pending.
- Customer Dispute (Pending)
- Date Complaint Received: March 18, 2024
- Allegations: The client alleges that the Financial Advisor made decisions that were in his own financial interest rather than the client’s and his family’s interest.
- Product Type: Equity – OTC (Common and Preferred, New Issue)
- Alleged Damages: $177,675.53
- Outcome: Pending
Allegations Against Mark Siegel
- Customer Dispute (Pending)
- Allegation: The Financial Advisor is accused of making financial decisions that favored his interests over those of the client and the client’s family.
- Details: The dispute involves a claim for damages amounting to $177,675.53 related to decisions on OTC equity products. The case is currently pending.
Mark Siegel Red Flags & Your Rights As An Investor
Of course, Mark Siegel 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 Siegel at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Siegel has 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 561-338-0037.
File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Mark Siegel
If you have questions about UBS Financial Services Inc. and/or Mark Siegel 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.
Rate this Post
Loading...