DID MARK RAY JOFFRION CAUSE YOU INVESTMENT LOSSES?
Mark Joffrion was recently fired from UBS Financial Services Inc. due to allegations of trading shares of a publicly traded company in violation of firm policy.
Who is Mark Joffrion formerly with UBS Financial Services Inc.?
Mark Joffrion (CRD #2263889) who was formerly registered as a broker with UBS Financial Services Inc. and located in Houston, Texas, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Mark Joffrion Employment History and Termination
Mark R. Joffrion has over three decades of experience in the financial industry, having worked at four prominent firms since 1992: UBS Financial Services Inc. (2015-2024), Morgan Stanley (2009-2015), Citigroup Global Markets Inc. (1993-2009), and Lehman Brothers Inc. (1992-1993).
He passed three general industry/product exams and two multi-state securities law exams, including Series 7 and Series 65 exams.
Termination: UBS terminated Joffrion’s employment after an internal review determined he had traded securities in his personal account while possessing non-public information, violating firm policy.
Negative Disclosures Summary
Mark R. Joffrion has two significant disclosure events on his record:
- Customer Dispute
- Complaint: Unsuitable investment recommendations and misrepresentation involving corporate debt.
- Alleged Damages: $22,650
- Outcome: Settled on April 26, 2021, for $12,250.
- Employment Termination
- Employer: UBS Financial Services Inc.
- Allegations: Trading shares of a publicly traded company in violation of firm policy, while in possession of non-public information.
- Date: October 9, 2024.
Allegations and Accusations
- Customer Complaint (2021):
- Allegations of unsuitable investment advice and misrepresentation, resolved with a settlement of $12,250.
- Termination (2024):
- Accusations of insider trading and policy violations, leading to discharge by UBS Financial Services Inc.
Mark Joffrion 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 Joffrion is a red flag which should put all current and former customers of Mark Joffrion at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Joffrion 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 Joffrion
If you have questions about UBS Financial Services Inc. and/or Mark Joffrion 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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