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Time Frame: April 25, 2014 to May 11, 2020
The client alleges he was given assurances that these investments were not risky. The client further alleges that the sales load and commissions were not revealed. The alleged damages are estimated to be in excess of $5,000.00
11/5/2008
Customer Dispute
Settled
Allegations
PLAINTIFF ALLEGES BREACH OF FIDUCIARY DUTY, NEGLIGENCE, MISREPRESENTATION AND UNSUITABLE RECOMMENDATIONS IN CONNECTION WITH THEIR UBS ACCOUNTS FROM JUNE 2006 THROUGH OCTOBER 2008.
DAMAGES UNSPECIFIED.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
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Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.