Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Joffrion (Joffrion), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Joffrion recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $15,202.35 on February 27, 2025.
Time Frame: January 3rd, 2023 to January 13th, 2025\, What were the allegations against the individual – The client alleges his Financial Advisor provided unsuitable investment advice and misrepresented the tax ramification of the investments.
