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MARK ELLIS GOLD

MARK ELLIS GOLD is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 18851 NE 29TH AVENUE, AVENTURA, FL, 33180.

MARK ELLIS GOLD has worked at UBS FINANCIAL SERVICES INC. since September 17, 2015

Disclosure History

MARK ELLIS GOLD has 6 Disclosure Event(s).

Date: August 30, 2010
Category: Customer Dispute
Allegations: THE CUSTOMERS ALLEGE MISREPRESENTATION, UNSUITABLE INVESTMENT RECOMMENDATIONS AND FAILURE TO OBTAIN PRIOR CONSENT BEFORE PURCHASING INVESTMENTS FROM OCTOBER 2006 TO MAY 2008.
Damage Amount Requested: $550,000.00
Settlement Amount: $125,000.00
Broker Comment: THE [THIRD PARTY] REVOCABLE TRUST DATED 10/3/96, THE [THIRD PARTY] MARITAL TRUST DATED 5/31/2008 AND THE [THIRD PARTY] RESIDUARY TRUST DATED 5/31/2008.

Date: May 05, 2005
Category: Regulatory
Initiated By: FLORIDA DEPARTMENT OF FINANCIAL SERVICES
Allegations: ALLEGATIONS THAT HE HAD NOT COMPLIED WITH CONTINUING EDUCATION REQUIREMENTS REQUIRED BY SECTION 626.2815, FLORIDA STATUES AND RULE 4-228 220, FLORIDA ADMINISTRATIVE CODE, FOR THE COMPLIANCE PERIOD ENDING FEGRUARY 28/2005.
Resolution: Consent SanctionDetails:
Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails:
Amount: $250.00

Date: August 20, 2004
Category: Employment Separation After Allegations
Firm Name: MSDW
Termination Type: Discharged
Allegations: BROKER DISCLOSED AND THE FIRM IS INVESTIGATING A VIOLATION OF FIRM POLICY IN CONNECTION WITH CLIENTS SIGNING AND FINANCIAL ADVISOR UTILIZING A MORGAN STANLEY DISCRETIONARY AUTHORIZATION FORM WITHOUT FIRM APPROVAL.
Broker Comment: N/A

Date: October 09, 1998
Category: Customer Dispute
Allegations: PSI CLIENTS ALLEGE COMMISSION OVERCHARGES ASA RESULT OF PURCHASING CLASS B MUTUAL FUND SHARES WITHCONTINGENT DEFERRED SALES CHARGES INSTEAD OF CLASS A SHARESPURSUANT TO VOLUME DISCOUNTS CLAIMED DAMAGES OF $12,000.00
Damage Amount Requested: $12,000.00
Broker Comment: NOT PROVIDEDCLIENTS WERE ERRONEOUS ON ALL CLAIMS. ALLINVESTMENTS & FEES WERE DISCUSSED AT LEANTH WITH CLIENTS

Date: December 01, 1991
Category: Customer Dispute
Allegations: CUSTOMER ALLEGED CLAIMS IN CONNECTION WITHTWO SECURITIES THAT WERE RECOMMENDED BY THE FIRM. CUSTOMERDEMANDED $125,000.
Damage Amount Requested: $125,000.00
Settlement Amount: $25,000.00
Broker Comment: FIRM AGREED TO PAY CLIENT $25,000. FA HAS NOTBEEN ASKED TO CONTRIBUTE TO SETTLEMENT.CUSTOMER HOLDS ME BLAMELESS. ALLEGES THAT FIRMMADE INVESTMENTS NOT BASED ON PROPER FACTS. CLIENT STILL DOESBUSINESS WITH ME. CUSTOMER NEVER NAMED ME IN COMPLAINT

Date: July 07, 1971
Category: Criminal

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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