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Time Frame: February 14, 2014 to October 7th, 2022
What were the allegations against the individual? The client alleges the financial advisors did not fully inform him of the details of the unsuitable recommendations. The client further alleges his wishes and interests are not being followed or protected.
Damage Amount Requested
$37,755.00
Broker Comment
I deny the allegations as I was not the broker of record at the time the investment was purchased. I did not join UBS until June 15, 2015. I was not involved in nor did I recommend the investment in question. In addition, I recommended that the client reduce his investment in the fund by $70,000 in February 2022 and he chose to reduce it by $20,000."
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.