Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allen Carter Jr. (Carter Jr.), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Carter Jr. 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 $7,000.00 on September 06, 2022.
Time Frame August 11, 2022 to August 15, 2022\, \, The client alleges he did not give authorization to execute trades.