Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ariel Morales Reyes (Morales Reyes), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Morales Reyes 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 $22,400.00 on January 08, 2021.
Time Frame: December 23, 2020 – January 4, 2021 \<char_lb_r>\, The client alleges his instructions to liquidate his security was not followed