Investors complained about securities broker Marc Edmond Haggar [CRD: 4146965, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Marc Haggar has worked for UBS Financial Services Inc. since December 6, 2011. The following information is an overview of the securities broker’s disclosures.
Specifically, a UBS Financial Services client filed FINRA Arbitration No. 23-00864 about Marc Haggar. The client alleged misrepresentation and failure to follow instructions. Because of this, the investor supposedly sustained damages. Consequently, on April 2, 2024, UBS Financial Services settled this matter by paying the client $25,000 in damages.
Particularly, a client of UBS Financial Services contested Marc Haggar’s sales practices, according to a complaint dated March 3, 2023. Notably, the investor alleged breach of fiduciary duty and negligence. Allegedly, Haggar allegedly caused the client to sustain damages. Therefore, they sought damages from UBS Financial Services or Haggar in the amount of $70,000 in this matter. However, the firm denied the complaint.
Experience losses due to Marc Haggar? If so, touch base with Soreide Law Group online or at (888) 760-6552 and speak to a securities lawyer about a potential recovery of your investment losses. Soreide Law Group investment loss recovery lawyers help individuals throughout the United States, work on a contingency fee basis, and advance all costs. Haggar and brokerage firms Haggar worked for deny accusations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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