Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aileen Schruth (Schruth), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Schruth recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $301,883.80 on July 13, 2022.
Time Frame: May 21, 2021 to July 1, 2022\, \, What were the allegations against the individual? \, \, The POA alleges he did not provide instructions to execute a trade.