Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Randall Iii (Randall Iii), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Randall Iii 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 $60,433.00 on May 27, 2021.
Time Frame: June 2, 2020\, \, What were the allegations against the individual? \, The client alleges his Financial Advisor failed to follow his instructions and sold his shares instead of transferring them to another account. .