Brian Mariash Allegedly Did Not Act in an Investor’s Best Interest

Brian Mariash (CRD #: 4371979), a broker registered with UBS Financial Services, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on April 17, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On December 8, 2023, an investor alleged Brian Mariash was not acting in their best interest regarding equity-indexed annuities. 

What is Regulation Best Interest? 

Regulation Best Interest expands on the requirements of FINRA Rule 2111, which defines suitable investment recommendations. In addition to limiting their recommendations to investments that suit their investors’ needs, brokerage firms must also uphold a Duty of Care, the Conflict of Interest Obligation, and the Disclosure Obligation. These obligations and duties require brokerage firms to disclose conflicts of interest.

Background Information 

Brian Mariash has passed the following exams: 

• Series 66 Uniform Combined State Law Examination
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 31 Futures Managed Funds Examination 
• Series 7 General Securities Representative Examination 
• Series 10 General Securities Sales Supervisor – General Module Examination 
• Series 9 General Securities Sales Supervisor – Options Module Examination 

He is a registered broker in 42 states and is a registered investment adviser in California, Connecticut, Florida, Nevada, New Mexico, New York, Pennsylvania, Texas, and Vermont. 

During his 23 years of experience, Brian Mariash has registered with six firms: 

• UBS Financial Services (CRD #: 8174) 
• Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #: 7691) 
• Morgan Stanley & Co. Incorporated (CRD #: 8209) 
• Morgan Stanley (CRD #: 7556) 
• A.G. Edwards & Sons (CRD #: 4) 
• Gunnallen Financial (CRD #: 17609) 

Kurta Law Can Help 

If you have worked with Brian Mariash and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.