Mary Ann Dineen (also known as Mary Ann Rose and Mary Ann Hicks), of Bonita Springs, Florida, a stockbroker registered with UBS Financial Services Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $540,000.00 in damages based upon allegations that Dineen withdrew customer funds without authorization during the time that Dineen was associated with UBS Financial Services Inc. FINRA Arbitration No. 23-00342 (February 10, 2023).
Public Disclosure shows that Dineen has been barred from associating with any FINRA member in any capacity because Dineen failed to respond to FINRA’s request for information. Letter No. 2019062212701. Dineen was issued a Notice of Suspension on October 11, 2019, and a Suspension from Association letter on November 4, 2019. She did not request termination of her suspension within the three-month period provided by FINRA. She was automatically barred on January 14, 2020.
Dineen was associated with UBS Financial Services Inc. as a stockbroker from June 11, 2013, to June 3, 2019. Dineen was discharged on May 29, 2019, based upon allegations that Dineen provided inconsistent explanations for her actions when under an internal UBS Financial Services Inc. investigation, and violated the firm’s notarization policies.
