Advisor Alert: Our Attorneys Are Investigating John Marmion Jr. For Investment Fraud
Did You Lose Money Because of John Marmion Jr.?
Filed: February 15, 2024
John Marmion Jr. has been the subject of one (1) regulatory event and one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on John Marmion Jr..
Who Is John Marmion Jr. of UBS Financial Services Inc.?
- Advisor Name: John Marmion Jr.
- Aliases: John Malachy Marmion Jr
- CRD: 1139175
- Location: Columbus, Ohio
- Current Employer: UBS Financial Services Inc.
- Previous Firms: Wells Fargo Advisors, LLC and Prudential Securities Incorporated
- Number of Known Customer Complaints: 1
- Number of Known Regulatory Events: 1
- Can John Marmion Jr. Be Sued: Yes, in Private Arbitration
- Can John Marmion Jr.’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $100,000
- Highest Settlement: $75,000
If you have suffered investment losses by John Marmion Jr., we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against John Marmion Jr. For Broker Misconduct
As of this publication date, John Marmion Jr. has been the subject of 1 customer dispute and 1 regulatory event. Let’s review them below.
In June 2023, Ohio Division of Securities initiated a regulatory action against or in reference to John Marmion Jr.
In September 1998, a complaint was filed against or in reference to John Marmion Jr. alleging that excessive and unsuitable trades in S&P “leaps” were executed in the client’s discretionary securities account by an outside money manager. Per the customer, she lost over $100,000 because of Mr. Marmion’s actions. On June 25, 1999, Mr. Marmion settled the claim for $75,000, and some or all of this amount may have been paid by Mr. Marmion’s employer and/or insurance carrier.
How To File A Claim Against John Marmion Jr. of UBS Financial Services Inc. (previously with Wells Fargo Advisors, LLC and Prudential Securities Incorporated) To Get Your Money Back
If you have questions about John Marmion Jr., UBS Financial Services Inc., Wells Fargo Advisors, LLC, Prudential Securities Incorporated, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.