Last Updated: April 2025 – New York, NY
Mark Sullivan Investigation Summary
Here’s what you need to know about New York, NY, former stockbroker Mark Sullivan:
- Name: Mr. Mark Lawrence Sullivan
- Current Employer: Procyon, as Registered Investment Advisor, Not currently registered with any FINRA firm
- Prior Employers: UBS Financial Services, Inc., Credit Suisse Securities (USA) LLC, Lehman Brothers Inc.
- Function: Stockbroker / Registered Investment Advisor
- Alias: Mark Sullivan
- Primary Location: New York, NY
- CRD Number: 2531982
- Can Mark Sullivan be sued in FINRA arbitration? Yes
- Sanctioned by FINRA: No
- Discharged by a prior Employer: Yex
- Highest Settlement or Award: $96,565
If you’ve sustained damages from Mr. Mr. Mark Lawrence Sullivan, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Mark Sullivan As Your Stockbroker?
A customer of UBS Financial Services, Inc. filed a complaint alleging unsuitable investment recommendations for a person of his age made by Sullivan. This complaint, concerning investments made between July 13, 2015, and August 14, 2024, resulted in a settlement of $96,565 paid by UBS Financial Services in 10/2024.
Mark Sullivan was discharged from UBS Financial Services, Inc. in 7/2024, following a review that determined he violated firm policies by exercising discretion in customer accounts without proper authorization, mismarking trade tickets, and not being forthcoming during the firm’s internal investigation.
Other Cases Involving Unauthorized Trading
Discretionary vs. Non-Discretionary Accounts
Allegations of Broker Misconduct Against Mark Sullivan
A customer of of Mark Sullivan has alleged the following wrongdoing:
Unsuitable recommendation for an elderly person
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of other UBS Financial brokers
If you have suffered investment losses in an account handled by Mark L. Sullivan, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.