Investors potentially experienced sales practice violations by securities broker Scott Douglas Jones [CRD: 2196146, Cincinnati, Ohio], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jones worked for UBS Financial Services Inc. from January 22, 2009, to January 20, 2026. Read on to discover more about this securities broker’s disclosures.
Specifically, on May 23, 2025, a UBS Financial Services Inc. client filed FINRA Arbitration No. 25-01046 against Scott Jones. The client alleged that Jones and his team did not act on red flags related to potential financial exploitation and executed trades that did not align with the client’s interests. For this reason, the client claims losses tied to a brokerage trust account. The client requested $3,233,690 in compensation from UBS Financial Services Inc. or Jones. This arbitration remains pending.
Particularly, a Merrill Lynch client filed a complaint on January 12, 2001, about Scott Jones. The client alleged that Jones made some investment decisions with consent but also carried out other transactions that went against the client’s instructions and investment goals. The client claimed losses involving stocks and requested $600,000 in damages. This matter closed without a resolution.
Do you have concerns or questions regarding investments you made with Scott Jones? You can contact 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 has recovered losses for many clients throughout the US. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Jones and brokerage firms Jones worked for deny any 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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