Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Segal (Segal), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Segal 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 $25,000.00 on June 18, 2024.
Time Frame: May 5th, 2022 to July 20th, 2023\, \, What were the allegations against the individual? Counsel representing the trustee alleges that individualized custom services and advise that were represented in the marketing material given to them by the Financial Advisor were not provided causing material financial damages to the client.