{"id":31914,"date":"2026-08-22T14:33:58","date_gmt":"2026-08-22T19:33:58","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=31914"},"modified":"2026-08-22T14:33:58","modified_gmt":"2026-08-22T19:33:58","slug":"unauthorized-trading-lawyers-8-2026","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/unauthorized-trading-lawyers-8-2026\/","title":{"rendered":"Shepherd Smith Edwards and Kantas Is Investigating Fired UBS Financial Advisor Mark Sullivan"},"content":{"rendered":"<h1>Longtime Broker Is Accused of Making Hundreds of Unauthorized Trades in Two Customers\u2019 Accounts<\/h1>\n<p style=\"text-align: center;\"><em>Law firm Shepherd Smith Edwards and Kantas is investigating former UBS financial advisor Mark Lawrence Sullivan after he was fired and subsequently suspended by FINRA over allegations of executing hundreds of unauthorized trades. The firm is encouraging affected investors who suffered losses due to Sullivan&#8217;s unauthorized trading or broker misconduct to reach out for a free consultation.<\/em><\/p>\n<p>If you have suffered investment losses while working with former UBS stockbroker Mark\u00a0\u00a0Lawrence Sullivan, Shepherd Smith Edwards and Kantas (<a href=\"https:\/\/www.investorlawyers.com\/\">investorlawyers.com<\/a>) wants to talk to you. Sullivan was recently suspended for three months by the Financial Industry Regulatory Authority (<a href=\"https:\/\/www.finra.org\/\" target=\"_blank\" rel=\"noopener\">FINRA<\/a>) for allegedly exercising\u00a0<a href=\"https:\/\/www.investorlawyers.com\/blog\/unauthorized-trading-lawyers-2\/\">unauthorized discretion<\/a>and mismarking tickets in customer accounts. This purportedly included making 581 trades in two clients\u2019 accounts without getting their written authorization.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/unauthorized-trading-lawyers-8-2026\/\"  title=\"Continue Reading Shepherd Smith Edwards and Kantas Is Investigating Fired UBS Financial Advisor Mark Sullivan\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Longtime Broker Is Accused of Making Hundreds of Unauthorized Trades in Two Customers\u2019 Accounts Law firm Shepherd Smith Edwards and Kantas is investigating former UBS financial advisor Mark Lawrence Sullivan after he was fired and subsequently suspended by FINRA over allegations of executing hundreds of unauthorized trades. The firm is encouraging affected investors who suffered [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":31917,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3762,4055,4975],"tags":[4994],"class_list":["post-31914","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-current-investigations","category-featured-investigation","category-unauthorized-trading-attorneys","tag-unauthorized-trading-lawyers"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v28.2 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Unauthorized Trading Lawyers - Shepherd Smith Edwards and Kantas<\/title>\n<meta name=\"description\" content=\"If you suffered investment losses from broker misconduct, contact our Unauthorized Trading Lawyers today to investigate your case and fight for recovery.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/unauthorized-trading-lawyers-8-2026\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Unauthorized Trading Lawyers - Shepherd Smith Edwards and Kantas\" \/>\n<meta name=\"twitter:description\" content=\"If you suffered investment losses from broker misconduct, contact our Unauthorized Trading Lawyers today to investigate your case and fight for recovery.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2026\/08\/Unauthorized-Trading-Lawyer.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Unauthorized Trading Lawyers - Shepherd Smith Edwards and Kantas","description":"If you suffered investment losses from broker misconduct, contact our Unauthorized Trading Lawyers today to investigate your case and fight for recovery.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.investorlawyers.com\/blog\/unauthorized-trading-lawyers-8-2026\/","twitter_card":"summary_large_image","twitter_title":"Unauthorized Trading Lawyers - Shepherd Smith Edwards and Kantas","twitter_description":"If you suffered investment losses from broker misconduct, contact our Unauthorized Trading Lawyers today to investigate your case and fight for recovery.","twitter_image":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2026\/08\/Unauthorized-Trading-Lawyer.jpg","twitter_misc":{"Written by":"Shepherd Smith Edwards &amp; 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