Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cherrie Brickhouse (Brickhouse), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Brickhouse recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 09, 2026.
Time Frame: 2/5/2026 to 2/9/2026 \, \, What were the allegations against the individual? The Trustee alleges the Relationship Manager (Senior Wealth Strategy Associate) failed to execute trades as instructed.