Mark B. Geist of Lincoln, Nebraska, a stockbroker currently associated with UBS Financial Services Inc., is the subject of a customer initiated investment related arbitration claim on August 8, 2017, in which the customer sought $280,542.00 in damages founded on accusations of negligence, breach of fiduciary duty, and unsuitable fixed income mutual fund transactions having been executed in the customer’s account from September of 2015 to July of 2017. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-02028 (Aug. 8, 2017).
FINRA Public Disclosure also confirms that on December 17, 2015, a customer filed an investment related written complaint concerning Geist’s activities, where the customer requested $80,000.00 in damages based upon allegations that between September 4, 2015 and December 17, 2015, open-ended mutual fund investments were effected in the customer’s account contrary to the customer’s expectations.
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