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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.

Investor Dispute

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.

Background Information

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 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.