Mary Dineen Named in Dispute Alleging Unauthorized Removal of Funds
Mary Dineen (CRD #: 2795942), a broker formerly registered with UBS Financial Services, has been barred by FINRA and is involved in a pending dispute, according to her BrokerCheck record, accessed on May 5, 2023. Read on to learn more about her alleged conduct as a broker.
On February 10, 2023, a client named Mary Dineen in a dispute alleging the unauthorized removal of funds from a trust to an unknown account between 2018 and 2023. The client seeks $540,000 in damages in this pending dispute.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Bar by FINRA
On October 11, 2019, Mary Dineen received a Letter of Suspension alleging that she failed to respond to FINRA requests for information. This suspension automatically converted to a permanent bar on January 14, 2020.
FINRA Rule 9552
FINRA Rule 9552 penalizes members who fail to provide documents, information, or testimony requested by FINRA with a suspension. This suspension converts to a bar if the member fails to request an end to their suspension within three months.
Termination from UBS Financial Services
On May 29, 2019, Mary Dineen was fired from UBS Financial Services following allegations that she violated firm policy concerning the proper notarization of documents, destroyed documents prior to a firm review, and provided multiple accounts of her actions during the firm review.
Mary Dineen 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 7 – General Securities Representative Examination
Kurta Law Can Help
If you worked with Mary Dineen and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.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 and 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.