Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 29, 2019 indicate that New York-based UBS Financial Services broker/adviser Mark Zeller has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Zeller (CRD# 2263684).
Mark Zeller has spent 25 years in the securities industry and has been registered with UBS Financial Services in New York, New York since 2005. Previous registrations include Citigroup Global Markets in New York, New York (1996-2005) and Smith Barney in New York, New York (1993-1995). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 4, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 6, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on June 2, 1994; and Series 7 (General Securities Representative Examination), which he obtained on September 15, 1993. He is a registered broker and investment adviser with 37 US states and territories.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.
In February 2019 a customer alleged Mark Zeller, while employed at UBS Financial Services, recommended unsuitable investments and misrepresented material fact in connection with an options overlay strategy investment. The customer is seeking $400,000 in damages in the pending complaint.
In 2010 a customer alleged Mark Zeller, while employed at UBS Financial Services, engaged in sales practices violations in connection with the sale of Lehman structured notes. The complaint settled in 2011 for $25,000.
If you or someone you know has complaints regarding Mark Zeller, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.