Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Lawson (Lawson), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lawson 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 $286,779.00 on December 07, 2022.
Time frame: January 2021- April 2022 \, \, Allegations: Claimants allege their financial advisor made an unauthorized purchase of a mutual fund and incorrectly advised that the fund would provide a hedge for general equity market exposure.