Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexis Molina (Molina), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Molina 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 $90,000.00 on June 08, 2023.
Time Frame: January 03, 2023 to June 07, 2023\, \, What were the allegations against the individual? The client alleges failure to follow instructions by not executing a trade correctly.