Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ajay Desai (Desai), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Desai 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 $1,000,000.00 on August 31, 2020.
Time frame: 2012-2020\<char_lb_r>\, Claimant’s counsel alleges unsuitability and negligence with respect to recommendations and investment of accounts.