John Geoghan Named in Allegations of Failure to Supervise

John Geoghan (CRD #: 2165011), a broker registered with UBS Financial Services, is involved in an investor dispute, according to his BrokerCheck record, accessed on May 14, 2025. Keep reading if you have questions about his alleged conduct as a broker.

Investor Dispute

On February 26, 2025, an investor named John Geoghan in allegations of failure to supervise with regard to the suitability of investments between 2019 and 2021. The client seeks $50,000 in this pending dispute.

FINRA Rule 3110

FINRA Rule 3110 requires that firms establish systems of supervision over their employees in order to detect and prevent violations of securities regulations. This includes appointing supervisors and providing them with Written Supervisory Procedures (WSPs).

FINRA Rule 2111

FINRA Rule 2111 requires brokers to evaluate whether an investment fits their investor’s financial goals. Brokers must examine the information in an investor’s profile, such as their age, tax status, risk tolerance, and investing experience.

Investors who rely on brokers for recommendations may be able to recover their losses by pursuing FINRA arbitration.

Background Information

John Geoghan has passed the following exams:

• General Securities Sales Supervisor – Options Module Examination – Series 9
• General Securities Sales Supervisor – General Module Examination – Series 10
• General Securities Sales Supervisor Examination (Options Module & General Module) – Series 8
• Securities Industry Essentials Examination – SIE
• National Commodity Futures Examination – Series 3
• General Securities Representative Examination – Series 7
• Uniform Securities Agent State Law Examination – Series 63

John Geoghan is a registered broker in all 50 states as well as the District of Columbia, Puerto Rico, and the Virgin Islands. He is also a registered investment adviser in New Jersey.

Kurta Law Can Help

If you worked with John Geoghan and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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.