Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Porter (Porter), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Porter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $18,007.36 on May 09, 2025.
Time Frame: December 10th, 2020 to May 9th, 2025\, \, What were the allegations against the individual? Client alleges they advised they did not to hold any investments in their portfolio owned or controlled by a CCP person or entity and as a result this investment was unsuitable for their account.