UBS Financial Services Inc. broker Mark Grueninger (CRD# 3031348) is accused of structured product losses. He has been registered with UBS Financial Services Inc. in Beverly Hills, California, since 2014.
Mark Grueninger Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
July 2024. “Time frame: July 2018 to December 2019 Allegations: Claimants’ counsel alleges that Respondents allowed Claimants’ former Certified Public Accountant to exceed the scope of his Power of Attorney resulting in his use of Claimants’ line of credit resulting in losses.” The customer is seeking $1,885,552 in damages, and the case is currently pending. The complaint was regarding structured products.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, UBS Financial Services Inc. may be liable for investment or other losses suffered by Mark Grueninger’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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