Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arnold I Alpert (Alpert), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Alpert recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 02, 2024.
Time Frame: August 1st 2006 – April 29th 2024\, What were the allegations against the individual ? The client alleges he was overcharged on fees as he was told 1 percent but was charged 1.5 percent and is requesting restitution.