Defendant Name:
Mark Zaino
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Mark Zaino
First Document Date
04-May-2011
Initial Filing Format
Administrative Action
File Number
3-14369
Allegation Type
Municipal Securities & Public Pensions
Affiliations
- Former: Director—No Specific Position Named in Document at UBS Financial Services Inc. (Until December 2006)
- Former: Senior Analyst; Associate Vice President; Assistant Vice President at UBS Financial Services Inc. (Until December 2006)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
First Resolution Date
